Compliance Management

Prediction and digital markets are growing quickly, but a wave of enforcement cases suggests compliance teams may be underestimating the conduct risks building up...

UK challenger bank Afin Bank has appointed ALMIS International, a provider of cloud-based balance sheet management software for banks and building societies, to underpin...

A payment can pass through every routine check and still present a serious financial crime risk. A beneficiary name may resemble a sanctioned individual,...

Picture a crypto business that, within two years of launch, is serving customers in the UAE, the UK, the EU and Singapore. Its product,...

The Financial Conduct Authority (FCA) has published its second consultation on reforming the Senior Managers & Certification Regime (SM&CR). Consultation paper CP26/37 proposes abolishing the...

Regulators publish documents, but financial institutions have to manage the individual obligations buried inside them. That mismatch is where a large share of the...

The U.S. Securities and Exchange Commission (SEC) has published its examination priorities for Fiscal Year 2027, and according to StarCompliance, a compliance technology provider,...

Wealth management firms face growing pressure to expand social media access for financial advisers while maintaining effective compliance oversight, as new research highlights the...

More than a year after the Digital Operational Resilience Act began to apply, many financial services firms are discovering that compliance is not a...

Transaction screening still remains a cornerstone of sanctions compliance, but it only goes so far. According to RegTech firm Quantifind, truly understanding sanctions exposure means...