Tag: Financial Regulation 2023

Goldman Sachs settles $6m SEC penalty for incomplete blue sheet submissions

Goldman Sachs & Co. has settled charges with the Securities and Exchange Commission (SEC) for neglecting to supply comprehensive and precise securities trading details, otherwise known as blue sheet data. The prominent financial institution has consented to a penalty of $6m to conclude the SEC's allegations.

Regulatory penalties for global financial institutions see sharp decline in H1...

Regulatory fines slapped on global financial institutions saw a staggering 88% dip in H1 2023 compared to the same period last year. This significant decline was unveiled in a report from Fenergo, the top-tier provider of digital solutions in client lifecycle management (CLM).

Understanding and mitigating money laundering and terrorism financing risks in your...

RegTech firm Arctic Intelligence recently provided a guide to understanding and mitigating money laundering and terrorism financing risks.

ESMA sets stage for sustainability disclosure in financial prospectuses

The ESMA has outlined expectations for sustainability-related disclosures in both equity and non-equity prospectuses.

Climate change risks to now be accounted for in Australia’s financial...

The Australian government has made it compulsory for the APRA to take into account climate change-related risks in its operations.

Download the free AIFinTech100 report


Download the AIFinTech100 report for 2023 with details on each solution

120,000+ FinTech leaders get exclusive industry stories delivered every week