Tag: enforcement

The collapse of FTX in November 2022 did not happen because rules were missing. Disclosure requirements were in place, and regulators in multiple jurisdictions...

Back in early 2025, the LeGaye Law Firm wrote, “The Financial Industry Regulatory Authority (FINRA), while not a federal agency, operates under the supervision...

Corlytics' latest Global Enforcement Report has surfaced an uncomfortable pattern: the organisations most often hit with regulatory enforcement rarely lacked controls altogether. According to Corlytics,...

The US Securities and Exchange Commission (SEC) has fined Bank of America's Merrill Lynch business $7.5m after finding the firm failed to file numerous...

AI governance in financial services is not a future problem but a present one, according to Brian Rubin, whose insights were shared in a...

Yotta Technologies, a San Francisco-based savings and sweepstakes platform, has been ordered to pay a $1m penalty by California's Department of Financial Protection and...

On 1 September 2026, the FCA's Code of Conduct will extend to cover bullying, harassment and discrimination across every FCA-authorised organisation — not just...

The opening months of 2026 have sent a clear message to financial services firms: regulatory momentum is not letting up. As artificial intelligence becomes...

The FCA's launch of its inaugural Enforcement Watch newsletter marks a notable evolution in how enforcement expectations are communicated to the market. According to...

The AML and sanctions landscape in North America is evolving rapidly, shaped by regulatory change, heightened scrutiny, and the rise of AI-driven compliance tools. Financial...