MyComplianceOffice Blog

The long-awaited Financial Accountability Regime (FAR Bill) will come into effect for the Australian banking industry on 15 March 2024 and for the Australian superannuation and insurance industries on 15 March 2025.

The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from FINRA’s regulatory operations programs including Member Supervision, Market Regulation and Enforcement. Addressing a broad range of topics spanning conflicts of interest, disclosures, communication practices and crypto asset compliance, the report contains information that firms can use to strengthen their compliance programs in 2024 and beyond.

In the dynamic landscape of financial services compliance, multiple global regulators play a pivotal role in shaping policies and ensuring stability.

2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement, encompassing a wide range of violations against individuals and firms of all sizes.  

Understanding 2023 enforcement actions along with the agency’s 2024 enforcement priorities will help firms better assess and anticipate regulatory expectations—and set the stage for better compliance. 

The 2023 Singapore FinTech Festival (SFF2023) brought a hive of activity and excitement to the region. Financial and compliance leaders came in droves to connect, share ideas, and learn about the latest developments across the financial and regulatory landscapes.