Tag: Compliance

After years of enforcement-led regulation with no formal rulebook, US financial regulators have finally drawn the map. On 17 March 2026, the Securities and...

Napier AI has weighed in on one of the thorniest debates in financial crime compliance: the gap between what artificial intelligence can theoretically do...

Prediction markets have rapidly become one of the most discussed developments in financial services, opening new avenues for participation while introducing fresh compliance and...

The financial services industry is in the middle of an infrastructure revolution. Trading floors that once ran on fixed turrets and on-premise recorders are...

For years, procuring compliance technology meant settling for a compromise. Legacy vendors offered global reach but could take weeks to refresh critical data, while...

Financial institutions have largely solved the problem of spotting regulatory change. What they have not solved is what happens next, and that gap is...

There comes a point in every MLRO's tenure when it becomes impossible to ignore that the organisation has outgrown its manual, Excel-based financial crime...

UBS Financial Services has been ordered by the Commodity Futures Trading Commission to pay an $8m civil monetary penalty over failures to properly supervise...

News monitoring is the discipline of tracking published news for mentions of the people, companies, topics or events an organisation cares about, and delivering...

The Financial Conduct Authority (FCA), the UK's financial services regulator, has confirmed a package of reforms to transaction reporting that it claims will deliver...