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FCA action puts SMCR accountability under fresh scrutiny
The UK Financial Conduct Authority has fined and banned two senior financial services executives after finding they acted dishonestly over an extended period, in...
AI fraud pushes adverse media screening up the agenda
Adverse media screening has moved from a supporting element of enhanced due diligence to a central compliance control, driven by a wave of regulatory...
UK fund disclosure overhaul: what the CCI regime means
For more than a decade, UK retail investment products have carried one of two disclosure documents: the UCITS Key Investor Information Document (KIID) or...
The hidden risk lurking between regulatory regimes
Global asset managers distributing across three or more jurisdictions are discovering that regulatory risk no longer behaves like a simple cost line.
According to Sherlocq,...
FinregE warns FCA reporting changes could expose data risks
The FCA's transaction reporting overhaul could force financial institutions to confront weaknesses hidden within their data infrastructure, according to regulatory intelligence specialist FinregE.
The Financial...
Why AML’s AI future hinges on transparency
Artificial intelligence has sharpened financial crime detection, cut false positives and surfaced patterns invisible to traditional rules-based systems.
Yet according to new analysis from Napier...
FCA widens Scale-Up Unit to five solely regulated firms
The Financial Conduct Authority has widened access to its Scale-Up Unit, admitting five businesses regulated solely by the FCA for the first time as...
UK trims MiFIR reporting scope but raises the data bar
The FCA has finalised its biggest shake-up of UK MiFIR transaction reporting since Brexit, and firms hoping for a straightforward compliance breather may be...
The FCA rewrite every AIFM must watch
Alternative investment fund managers in the UK have a new date to watch: 14 July 2026, when the FCA and HM Treasury signalled that...
Why compliance teams can’t wait for AI-specific regulation
Financial regulators across the US, UK and UAE are converging on a single message: existing rules already apply to artificial intelligence, and firms cannot...
