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CBI review exposes gaps in MiFID compliance functions
Irish MiFID investment firms are under fresh regulatory pressure after the Central Bank of Ireland (CBI) published its Thematic Assessment of the compliance function...
Global fund rules tighten: what managers must know now
Investment managers operating across borders are facing a wave of regulatory change, with new disclosure obligations, revised marketing rules and updated registration frameworks now...
How DORA fines could impact financial institutions
DORA has introduced a unified framework for digital operational resilience across the EU, but enforcement remains far from uniform.
According to Copla, while the regulation...
Why scalable AML is now table stakes for FinTech
In July 2025, the Financial Conduct Authority (FCA) fined Monzo Bank approximately £21m for serious anti-money laundering (AML) control failings. The penalty, detailed in...
Coinbase’s €21.5m fine signals tougher EU AML
Coinbase Europe, the Dublin-based arm of the U.S. crypto exchange, has been hit with a €21.5m fine by the Central Bank of Ireland (CBI)...
AMLTRIX unveils global AML knowledge graph for financial crime
AMLTRIX, an open-source AML initiative, has launched the world’s first AML knowledge graph, aiming to create a universal framework for tackling financial crime.
The product...
Cross-border fund distribution: Key regulatory updates for fund managers in May...
Navigating cross-border fund distribution requires constant vigilance, especially as regulatory landscapes continue to shift. In May 2025, a series of significant updates have been introduced to help fund managers, compliance officers and legal professionals stay compliant across key jurisdictions.
Enhancing communication compliance with Custodia’s CC1 Service
In a recent Conduct Risk Assessment of Telephone and Electronic Communications by the Central Bank of Ireland, significant concerns regarding communications compliance have surfaced,...
Custodia’s CC1 Service: Revolutionizing communication compliance in the era of hybrid...
The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.
Central Bank of Ireland fines J&E Davy €4.1m for MiFID breaches
The Central Bank of Ireland has fined wealth management firm J&E Davy €4.1m after finding four breaches to MiFID regulations between July 2014 and May 2016.