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Regulatory

News, analysis and practical insights that focus on regulators, regulation and global actions to level the business playing field.

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35 results

UK Regulation

UK lawmakers call on FCA to abandon ‘name & shameʼ plan

The UK Financial Conduct Authority (FCA) should not move forward with plans to identify firms under investigation by its enforcement...
By Lindsey Rogerson 6th February 2025
UK lawmakers call on FCA to abandon ‘name & shameʼ plan

Americas

Project 2025’s planned bonfire of the regulators ignites uncertainty

Project 2025, the 920-page plan that calls for a bonfire of most regulatory agencies, has ignited uncertainty among banks’ compliance...
By Richard Satran 6th February 2025
Project 2025’s planned bonfire of the regulators ignites uncertainty

Americas

US consumer protection regulator will be a bellwether for Trump deregulation agenda

Legal and regulatory experts seeking early intel on US regulatory reform should keep watch on the Consumer Financial Protection Bureau...
By Richard Satran 5th February 2025
US consumer protection regulator will be a bellwether for Trump deregulation agenda

Conduct & Culture

DEI backlash should not stall efforts to tackle toxic behaviour in financial firms

The new US administrationʼs cancellation of diversity, equality and inclusion (DEI) initiatives should not lead to misconduct at financial services...
By Lindsey Rogerson 4th February 2025
DEI backlash should not stall efforts to tackle toxic behaviour in financial firms

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...
By Rachel Wolcott 29th January 2025
FCA found 139 MiFID firms failing to report transactions in 2024

Conduct & Culture

FCA reveals broker probe, says individuals wield too much power

The UK Financial Conduct Authority (FCA) is concerned that individual brokers wield too much power over their employers, and is...
By Rachel Wolcott 29th January 2025
FCA reveals broker probe, says individuals wield too much power

UK Regulation

FCA publishes request to intervene in Supreme Court case, defends action over motor finance

The Financial Conduct Authority (FCA) has published its application to the UK Supreme Court for permission to intervene in three...
By Lindsey Rogerson 28th January 2025
FCA publishes request to intervene in Supreme Court case, defends action over motor finance

UK Regulation

Government should state risk tolerance for harm when easing regulation, says FCA chief

The UK government needs to give guidance on what an “acceptable outcome” would look like if the regulator eased borrowing...
By Lindsey Rogerson 27th January 2025
Government should state risk tolerance for harm when easing regulation, says FCA chief