Compliance

The European Securities and Markets Authority (ESMA) fined credit ratings firm Moody’s €3.7m for breaching rules including the failure to disclose conflicts of interests.

Visa is in legal hot water as it faces a regulatory investigation by the US Department of Justice (DOJ) over concerns of whether it is using anticompetitive practices in the debit card market.

Doorstep lender Provident Financial said the UK’s financial watchdog Financial Conduct Authority (FCA) is investigating the firm in its consumer credit unit.

Scottish FinTech company, AutoRek secured a significant equity growth investment from private equity firm Scottish Equity Partners (SEP).

A City watchdog has publicly censured collapsed payments company Premier FX for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations.

The UK's top financial markets watchdog has warned disgraced fund manager Neil Woodford that his announced comeback is reliant on him passing a character assessment.

WealthTech and cybersecurity enterprises were among the FinTech businesses that closed investment rounds in the last seven days. Companies operating in the WealthTech, cybersecurity, RegTech,...

The UK’s Financial Conduct Authority (FCA) will change the amount of shares an issuer is required to have in public hands from 25% to 10%.

Solidatus, a data lineage platform aimed at helping firms meet regulatory compliance, has scored £14m in its Series A funding round.

Picking the right RegTech company to invest in is difficult. Luckily, the Global RegTech Buyer's Guide 2021 has just been launched to help make it easier to make the right choice.