Tag: financial regulation

Global regulatory compliance is the continuous process of ensuring a business meets the legal, regulatory, and operational requirements of every market in which it...

The US Securities and Exchange Commission (SEC) has settled with a Florida-based investment manager over fraud and misleading investor disclosures, serving as a stark...

A MiKaDiv solution is best understood as the combination of processes and technology required to support dividend tax reporting under Germany's MiKaDiv framework. According to...

WealthTech company Kidbrooke has outlined why the Netherlands' transition to the Wet toekomst pensioenen (Wtp) has redrawn the lines of accountability in pension communication.   In...

The European Banking Authority (EBA), the EU's banking regulatory body, has published a Decision aimed at standardising how national competent authorities (NCAs) report data...

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

As investment managers hunt for new sources of alpha in an increasingly competitive landscape, those operating UCITS funds face a particular challenge: navigating the...

SmartSearch has issued a stark warning to claims management companies and law firms: prepare for the FCA's forthcoming motor finance compensation scheme now, or...

The Monetary Authority of Singapore (MAS), Singapore's central bank and integrated financial regulator, has released an AI Risk Management Toolkit designed to help financial...

For the first time in more than three decades, FINRA has raised the annual gift limit under Rule 3220. The Securities and Exchange Commission...