Tag: regulatory enforcement

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...

2025 has brought a sharp escalation in enforcement action against UK law firms over anti-money laundering (AML) failings, with regulators handing out some of...

False negatives represent one of the most serious, yet least visible, risks in AI-powered compliance systems. While false positives often dominate the conversation, a...

The Abu Dhabi Global Market (ADGM) has issued a major enforcement action, shining a spotlight on the regulatory vulnerabilities facing virtual asset firms. This move serves as a stark reminder of the growing scrutiny within financial free zones, particularly in the rapidly evolving digital asset space.