Tag: financial regulation

The recent separation of the UK from the EU has set the stage for regulatory divergence between the two jurisdictions.

In February 2024, the Financial Conduct Authority (FCA) initiated a pivotal consultation titled 'CP24/2: Our Enforcement Guide and publicising enforcement investigations – a new...

Sanctions play a crucial role in international diplomacy and law enforcement, ensuring that countries and entities adhere to international norms and regulations. Keeping up to date with the ever-evolving sanctions regulations, including OFAC's 50% Rule and the EU's new directives, remains a top priority for companies worldwide.

SS&C Technologies Holdings, a provider of financial services and software, has announced a strategic partnership with Regnology, a frontrunner in regulatory reporting technology.

The European Securities and Markets Authority (ESMA), the regulator and supervisor for the EU's financial markets, is currently on the lookout for new members to join its Securities Markets Stakeholder Group (SMSG).

Big changes are sweeping through Europe's financial landscape, thanks to the introduction of stringent Anti-Money Laundering (AML) laws. These new regulations are particularly significant for high net worth individuals (HNWIs) and businesses in the luxury sector. The mandate? Heightened vigilance and transparency in financial dealings, aiming to curtail the misuse of funds.

As the end of the year draws near, financial firms are under the gun to complete their annual FINRA and state/jurisdiction registration renewals. With deadlines fast approaching, it's critical to have a robust framework in place for timely, cost-effective, and efficient renewals, not just for this year but for the future as well.

The wave of recordkeeping enforcement actions in the finance sector has now expanded to brokers, investment advisers, and credit rating agencies. Leading this charge...

Flagright recently detailed how financial industry companies can manage third-party risks in compliance solutions.

Money Service Businesses (MSBs) have emerged as a crucial part of the financial ecosystem, bridging a gap that once only traditional banks would fill.