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SMCR reforms arrive, but compliance risk remains
The UK's Senior Managers and Certification Regime is entering a new era — but firms hoping for a lighter regulatory touch should not mistake...
Why compliance teams struggle to explain their decisions
Monitoring for issues is no longer enough — regulators now want to know precisely how and why every compliance decision was reached, and firms...
StarCompliance launches explainable AI compliance tool
StarCompliance, a RegTech firm specialising in employee and firm compliance technology, has unveiled StarAssist, an AI-powered capability designed to embed explainable, auditable intelligence directly...
Fund holdings transparency: closing the compliance gap
Funds have become central to modern investing, yet they are quietly creating a growing blind spot in employee trading controls — one that many...
How prediction markets are reshaping compliance risk
Something significant happened at NYU Law School on 31 March 2026. David I. Miller, the newly appointed director of enforcement at the Commodity Futures...
Who owns decisions in the automated compliance era?
Automation was meant to make compliance cleaner, with faster decisions, consistent outcomes, and fewer human errors, but it has made ownership far less clear....
How FINRA’s updated gifts rule reshapes compliance in 2026
The US Securities and Exchange Commission (SEC) approved amendments to FINRA's Rule 3220 in February 2026, raising the annual gift limit from $100 to...
Digital assets compliance gaps widen despite scrutiny
Nearly two-thirds of firms globally are allowing employees to trade digital assets without pre-approval, according to new research from StarCompliance, exposing what the company...
What the SEC’s 2026 priorities mean for compliance teams
The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...
Why prediction markets are testing regulatory boundaries
As prediction markets move steadily into the mainstream, compliance teams and regulators are facing a deceptively simple but increasingly urgent question: who is actually...
