Tag: Compliance

When the Financial Conduct Authority (FCA) published CP25/18 on 2 July 2025, it sent a clear signal to regulated firms: workplace culture is no...

A fragmented global landscape shaped by geopolitical rivalry, regulatory divergence, supply-chain realignment and weakening international cooperation is fundamentally changing how financial crime risk manifests. For...

In 2024, consumers and businesses reported losses of more than $12.5bn to fraud, representing a 25% year-on-year increase. According to AiPrise, the scale of this...

Investment managers are entering 2025 facing a more demanding compliance environment, shaped by heightened regulatory scrutiny and rising expectations from institutional clients. According to...

Accurate and timely Form ADV filings play a central role in maintaining trust with regulators and protecting an investment adviser’s reputation. When firms fall behind,...

As 2025 comes to an end, the fixed income and derivatives markets can look back on a year shaped by persistent volatility and accelerating...

AI has moved decisively from experimentation to execution within financial crime and compliance teams. New research from Hawk, conducted in partnership with Chartis, surveyed 250...

The word “exam” tends to trigger anxiety, whether it comes from a school, a doctor, or a financial regulator. In financial services, however, regulatory...

KYC failure is becoming a persistent problem for financial services firms as fraud techniques grow more advanced and regulatory expectations tighten. In 2024 alone,...

Early signals from compliance teams suggest that sanctions screening is entering a decisive phase, shaped by geopolitical instability, expanding watchlists, and a clear regulatory...