Regulatory
News, analysis and practical insights that focus on regulators, regulation and global actions to level the business playing field.
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144 results
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...
UK Regulation
UK CMA to redress Apple and Google mobile app duopoly
The UK Competition and Markets Authority (CMA) has proposed to designate both Apple and Google with strategic market status for mobile platforms,...
Compliance
FCA takes aim at ‘deceptive design’ practices in online loan market
The UK Financial Conduct Authority (FCA) has issued a report detailing good and bad practice by online and in-app loan...
Conduct & Culture
More senior manager penalties coming, says UK watchdog
The UK Financial Conduct Authority (FCA) has said there are more senior manager penalties to come, in a response to...
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