Tag: financial regulation

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

DORA has introduced a harmonised regulatory framework across the EU, but when it comes to enforcement, the reality is far from uniform. According to...

The UK’s financial watchdog has quietly adjusted how firms monitor regulatory expectations, introducing a new framework designed to provide clearer guidance across key sectors....

The Financial Regulatory Authority (FRA) has introduced a new regulatory framework designed to govern the establishment, management and closure of branches operated by companies...

Luxembourg and the UK are pressing ahead with sweeping changes to how crypto assets are regulated, with updates from both the CSSF and the...

The Cambridge Centre for Alternative Finance (CCAF), operating under Cambridge Judge Business School at the University of Cambridge, has announced the formation of a...

The Bank of England's (BoE) Prudential Regulation Authority (PRA) published Supervisory Statement 5/25 last December, setting out its concerns over the systemic risks that...

Manual redress processes are coming under renewed scrutiny as firms respond to large-scale remediation exercises in the motor finance market. As the sector grapples with...

The U.S. Securities and Exchange Commission has unveiled its Fiscal Year 2026 Examination Priorities, and while the language may appear measured, the message to...

Mobile communications have become one of the most difficult areas of modern communications compliance. As regulatory enforcement around off-channel messaging continues to intensify, firms...