Regulatory Oversight
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34 results
Compliance
Unauthorised firms increasingly tout AI ‘hybridʼ products
Unauthorised firms are increasingly touting products and services featuring artificial intelligence (AI) combined with another asset class such as crypto...
Americas
Anxiety mounts over DOGE’s rapid introduction of AI at regulatory agencies
As experts at a US Securities and Exchange Commission (SEC) conference on artificial intelligence (AI) convened in late March to...
Conduct & Culture
FCA charts ‘middle courseʼ in pleadings before UK Supreme Court
The Financial Conduct Authority (FCA) proposed a middle route between the “two extremes” of treating all motor brokers as fiduciaries...
Regulatory Oversight
Financial regulators hit by impersonation scams across the world
Financial regulators have been hit by scammers impersonating their officers, with authorities issuing alerts in Australia, the Cayman Islands, the...
Digital Assets
Solvency II is best place to deal with prudential risks of crypto assets for time being, EIOPA says
The European Unionʼs Solvency II regime is the best place to deal with prudential risks of crypto assets for the...
Regulatory Reform
FCA chief draws clear line of responsibility for government, parliament on financial regulation
Nikhil Rathi, chief executive of the Financial Conduct Authority (FCA), reminded lawmakers this week that the regulator carries out the...
Compliance
UK regulatorʼs five-year strategy promises fewer rules, more predictability
The UK Financial Conduct Authority (FCA) promised it would be a more “predictable, purposeful and proportionate” regulator and “support growth”...
Americas
SEC hits pause on proposed investment fund and adviser rules
Acting US Securities and Exchange Commission (SEC) chairman Mark Uyeda has hit pause on proposed rules covering safeguarding of advisory...
