Regulatory Reporting
Regulation responds to a dynamic sector and real-world events. Understand the environment in depth and breadth ― with the latest news, intelligence and analysis.
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12 results
Compliance
Neo-brokers fined $53m globally, IOSCO paper finds compliance weaknesses
Neo-brokers have been fined a collective $53 million to date by the US Securities and Exchange Commission (SEC), Financial Industry...
Compliance
Insurers should not fear EU AI Act, DORA will reduce reporting burden, says EIOPA chair
Insurance firms have nothing to fear from the European Union’s Artificial Intelligence (AI) Act, while the arrival of its Digital...
Regulatory Reporting
Global identifier org pairs with corporate registers to boost KYC
The Global Legal Entity Identifier Foundation (GLEIF) has partnered with two European corporate registers, partly to make Know Your Customer...
Regulatory Reporting
FCA found 139 MiFID firms failing to report transactions in 2024
The UK Financial Conduct Authority (FCA) found 139 Markets in Financial Instruments Directive (MiFID II) firms potentially failing to report...
Risk Management
European supervisor stress tests banks for resilience to trade wars
The European Banking Authority’s (EBA) biannual stress test kicked off this week. Last run in 2023, this yearʼs test will...
UK Regulation
UK prudential regulator delays Basel 3.1 again, pauses data collection request
On January 17, the Prudential Regulation Authority (PRA) delayed the implementation date for Basel 3.1 until January 2027 — the...
Regulatory Oversight
UK regulator has no metric to measure its effect on growth in real economy, says Woods
Sam Woods, chief executive of the Prudential Regulation Authority (PRA), told lawmakers that its current performance metrics do not directly...
Compliance
EU must exempt firms from DORA’s ICT definitions
European Union financial services trade bodies have jointly called on the EU Commission to exempt firms from its definitions of...
