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SEC’s new digital asset framework tests limits of investor protection
The Securities and Exchange Commission has put forward a new proposal, Regulation Crypto Assets, designed to give crypto asset businesses a clearer route to...
Why insider trading law still binds digital markets
Compliance professionals keep asking the same question: will digital assets, tokenised securities and prediction markets force regulators to rewrite insider trading law? Increasingly, the...
FINRA swaps watchdog bite for neighbourly nudge
A year on from predictions that Washington's deregulatory mood would soften America's markets regulator, FINRA's own progress report suggests the forecast has landed.
According to...
Why compliance teams can’t wait for AI-specific regulation
Financial regulators across the US, UK and UAE are converging on a single message: existing rules already apply to artificial intelligence, and firms cannot...
Regulation S-P deadline exposes gaps in manager compliance
US investment managers are discovering that 2026's regulatory landscape offers no shortcuts, even as the SEC signals a more targeted approach to enforcement. The...
Financial firms face AI scrutiny without new rules
Financial firms are making major decisions about artificial intelligence before regulators have established a dedicated rulebook for the technology. But the absence of AI-specific...
RegTech gap widens as compliance shifts to judgement
Risk and compliance functions across financial services are being asked to do more than track regulatory change, according to CUBE's latest fortnightly briefing, The...
SEC AI scrutiny exposes governance gaps in finance
Financial firms are facing growing pressure to demonstrate how artificial intelligence is being used, governed and disclosed as the US Securities and Exchange Commission’s...
$931m in Q2 fines shows escalation, not detection, is failing
Global enforcement penalties in the second quarter of 2026 reached their highest level in four quarters, according to a new analysis of regulatory activity...
Reg S-P puts marketing teams’ AI workflows in the firing line
Regulation S-P has long been filed away as a matter for privacy officers, cybersecurity leads and legal counsel. That framing is now dangerously out...
