Regulatory
News, analysis and practical insights that focus on regulators, regulation and global actions to level the business playing field.
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Retail
FCA takes ‘audit-driven’ approach to payments firms
The UK Financial Conduct Authority (FCA) is taking an “audit-driven” approach to payments and e-money institutions under its new safeguarding...
Regulatory Oversight
FCA offers ‘supercharged sandbox’ for AI experimentation
The UK’s Financial Conduct Authority (FCA) launched what it is calling a “supercharged sandbox” in June, aiming to support financial...
Enforcement Actions
UK FCA increased penalties on individuals in 24/25, 83 investigations open
The UK Financial Conduct Authority (FCA) has increased the number of penalties and enforcements taken against individuals in its 2024/25...
Enforcement Actions
SEC fines MUFGʼs UK broker $9.8m for not substituting compliance
The US Securities and Exchange Commission (SEC) has fined MUFG Securities EMEA $9.8 million for failing to apply substituted compliance...
UK Regulation
FCA: new safeguarding rules will ‘better protect’ customer funds
The UK Financial Conduct Authority (FCA) is introducing new safeguarding rules for payments and e-money institutions, with a goal to...
Americas
US SEC forms task force, echoes wider ‘AI deregulation’ initiative
The US Securities and Exchange Commission (SEC) is forming an artificial intelligence (AI) task force to streamline its own operations,...
UK Regulation
Consumer Duty not FSCS will ‘protectʼ retail investors in crypto ETNs, says FCA
Crypto exchange traded notes (cETNs) will not be covered by the UK Financial Services Compensation Scheme (FSCS), according to a...
Compliance
Neil Woodford, Woodford Investment Management to appeal £46m FCA fine
The Financial Conduct Authority (FCA) has announced that it is minded to fine Neil Woodford and his eponymous fund management...
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