Tag: financial regulation

Financial services firms can invest in sophisticated risk technology, but those systems will have limited impact if organisations continue to view risk primarily as...

Durham University Business School has published a study calling for a dedicated regulatory framework to govern the use of artificial intelligence within financial services. The...

Source of Funds compliance has spent much of the past decade as a background AML task, a box ticked on higher-value transactions rather than...

The Financial Conduct Authority (FCA) has confirmed the biggest shake-up of the UK MiFIR transaction reporting regime since Brexit, publishing Policy Statement 26/15 to...

One of the biggest new US anti-money laundering reporting regimes has effectively just been dismantled, after FinCEN finalised sweeping changes to the Corporate Transparency...

US investment managers are being warned that 2026's regulatory landscape is not lighter, just sharper, as the SEC narrows its focus to fraud and...

The US Securities and Exchange Commission’s Division of Examinations has begun requesting information from financial firms about their use of artificial intelligence, according to...

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

Ask a bank how many controls it operates and a confident answer is rare. Ask how many it actually needs, and which ones, and...

Risk managers across New York, Chicago and San Francisco are discovering that Europe's operational resilience regime has quietly become their problem too. According to Risk...