Compliance
Actionable, real-time and data-driven briefings on a dynamic regulatory environment ― to keep you ahead of the financial and ESG compliance curve.
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110 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...
Regulatory Oversight
Financial ombudsman Q1 data shows 40% drop in complaints from CMCs, 80% uphold rates for pensions
Data from the first quarter of financial year 2025/26 from the Financial Ombudsman Service (FOS), published on August 7, shows...
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...
Regulatory Oversight
FCA puts industry cost for motor redress at £9-£18bn, says ‘some firms’ broke law
The Financial Conduct Authority (FCA) will consult on a redress scheme for mis-sold motor finance by early October, following Friday’s...
Compliance
Regulators leave gaps in crypto ‘Travel Ruleʼ implementation
Global regulators are leaving “considerable gaps” in implementing the so-called Travel Rule in the cryptocurrency sector, according to a report...
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...
Regulatory Oversight
EBA: national regulators are falling behind on AML/CFT risks
EU national regulators are falling behind on anti-money laundering and countering the financing of terror (AML/CFT) risks, according to the...
Retail
The FCA sprints towards open finance future, outlines priorities for 2026
The UK’s Financial Conduct Authority (FCA) has released the outcomes of its Open Finance Sprint, which hosted representatives from the...
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