Risk Assessments and Controls: FCA Insight on Good and Poor Practices In November 2025, the UK Financial Conduct Authority (FCA) published findings from a multi-firm... READ MORE
eComms in the FCA’s Regulatory Spotlight: the APAC Impacts The UK’s Financial Conduct Authority (FCA) has released its findings on firms’ management of... READ MORE
UK AML Regulatory Reforms in 2025 and Beyond As HM Treasury reforms and updates the Money Laundering Regulations, UK financial services firms... READ MORE
FINRA’s New OBA Rule: What the Proposed Changes Mean for Compliance FINRA’s recently released Regulatory Notice 25-05 proposes significant changes to the rules... READ MORE
Insider List and Information Management under MAR The European Market Abuse Regulations (MAR) have been in effect since July of 2016. Regulatory... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority It's been almost one year the Consumer Duty came into force, setting higher and clearer standards... READ MORE
Streamline Employee Attestations and Certifications Financial services firms are among the most heavily regulated organizations worldwide. From the FCA... READ MORE
Infographic: Personal Account Dealing Compliance Personal Account Dealing, when employees gain personal profit from inside information or other data... READ MORE
