Tag: Regulation

The Markets in Crypto-Assets Regulation (MiCA) is setting a precedent, crafting a well-structured framework for regulating crypto-assets throughout the European Union (EU) which are not yet encased by current financial services legislations. 

The SEC has always been at the forefront of regulating firms, ensuring they maintain good marketing practices. Its risk alerts play an instrumental role, offering firms the much-needed guidance to prepare for impending examinations.

Travis Schwab - the CEO of Eventus - the global provider of state-of-the-art, at-scale trade surveillance software across all lines of defense – recently spoke...

In a recent post, Saas firm Diligent detailed that regulatory compliance teams can build better training programs. 

Theta Lake recently provided a deeper look into the high level of fines that are being aimed at financial institutions. 

As ESG becomes a major focus for regulators around the world, companies need to ensure they can cope with the regulatory requirements. One area...

While the RegTech sector is fairly young compared to some of its counterparts, the industry is brimming with energy and innovation

On April 22, we celebrated the 53rd annual Earth Day to celebrate the planet and move further towards protecting and celebrating the Earth.

FinTech Global recently sat down for an interview with Clausematch and FINRA to find out the opportunities of digitised regulation.

Quality assurance (QA) is an important process for financial services. It ensures products and services are compliant and that they meet customer demands. Aveni, a UK-based RegTech platform, has set out to debunk eight assumptions around QA within financial services.