Tag: financial regulation

Zeidler Group has provided a bespoke training session on the Digital Operational Resilience Act (DORA) to the senior management of a mid-sized investment firm...

The European Banking Authority (EBA) has issued a no-action letter to clarify the application of the ESG Pillar 3 disclosure requirements under its disclosure...

Germany’s financial regulator BaFin has introduced a new digital procedure for the prior notification of appointments, changes, or dismissals of money laundering officers (Geldwäschebeauftragter)...

As the industry heads into the summer conference season, the mood among anti-money laundering (AML), fraud, and regulatory risk professionals is one of cautious...

As the first half of the year concludes, the European Securities and Markets Authority (ESMA) has published its Final Report on the 2023–2024 Common Supervisory Action (CSA) focused on sustainability-related disclosures, offering fund managers and compliance teams a clear signal on the current regulatory landscape under the Sustainable Finance Disclosure Regulation (SFDR).

The European Banking Authority (EBA) has opened a public consultation to gather views on its draft amended guidelines concerning the application of the definition of default under the Capital Requirements Regulation (CRR).

AMLA and the European Supervisory Authorities have signed a memorandum of understanding to strengthen cooperation and information exchange across the EU’s financial system.

Firms regulated by the SEC or FCA must treat regulatory examinations and supervisory visits as part of their business-as-usual operations. While SEC exams are...

For many compliance professionals, keeping up with regulatory change is like flying a plane while simultaneously building the runway—with a blindfold on. The rules...

The UK’s FCA has unveiled a new initiative aimed at boosting artificial intelligence (AI) adoption across the financial sector. The regulator announced the launch...