Tag: financial regulation

As investment managers face mounting regulatory scrutiny and increasingly sophisticated client expectations, compliance with the Global Investment Performance Standards (GIPS) continues to play a...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to the financial services industry: the pace of GenAI adoption is outstripping the...

Whether it comes from a doctor, a teacher, or a financial regulator, the word “exam” rarely inspires confidence. In financial services, however, regulatory exams...

As regulatory scrutiny intensifies and data volumes continue to grow, communications compliance is becoming a defining challenge for regulated firms heading into 2026. According to...

The FCA has outlined a series of reforms aimed at reshaping the mortgage market, with a particular focus on first-time buyers, underserved consumers and...

Reputational risk has long shaped how the U.S. financial system approaches supervision, governance, and customer trust. For decades, the concept served as a wide-ranging...

The FCA has unveiled a package of proposed measures designed to improve retail investment engagement, bolster wholesale market confidence and reinforce the UK’s position...

For years, many industries have used separate business entities to receive compensation on behalf of independent contractors, often for tax reasons or administrative efficiency....

The FCA has signalled the biggest shift in UK transaction reporting since MiFIR was first introduced, setting out plans for a streamlined, more proportionate...

FINRA has stepped up its modernisation efforts this year through FINRA Forward, a programme designed to strengthen the organisation’s regulatory effectiveness in an era...