Tag: regulatory enforcement

Every major risk category in banking has its own number, except one. Credit risk relies on probability of default (PD) and loss given default...

The UK Financial Conduct Authority has fined and banned two senior financial services executives after finding they acted dishonestly over an extended period, in...

Bet365 has entered a legally binding, court-enforceable undertaking with the Australian Transaction Reports and Analysis Centre (AUSTRAC), after the regulator identified serious weaknesses in...

A recent US Securities and Exchange Commission (SEC) settlement with a Florida-based investment manager is serving as a reminder to the asset management industry,...

In late February 2026, a prominent US educational institution agreed to pay $1.72m to the US Treasury to settle allegations that it had processed...

In 2025, the UK’s FCA delivered a forceful reminder to regulated firms that weaknesses in systems and controls—particularly those linked to financial crime and...

The Financial Conduct Authority’s launch of its inaugural Enforcement Watch newsletter marks a clear shift in how the regulator signals its enforcement priorities to...

Manual know your customer checks continue to slow onboarding, frustrate customers and quietly increase regulatory exposure for many regulated firms. As customer volumes grow,...

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

A consent order can transform a financial institution’s entire compliance structure overnight. These formal regulatory actions demand swift remediation, greater accountability, and improved oversight—often following...