Tag: financial regulation

As Europe begins 2026, the wealth management sector is facing a decisive moment. Persistent market volatility, intensifying regulatory scrutiny and rapidly rising expectations around digital sophistication are reshaping how asset managers operate.

As the industry draws a line under 2025, it would be easy to characterise the year through its loudest narratives: the backlash against ESG,...

A fragmented global landscape shaped by geopolitical rivalry, regulatory divergence, supply-chain realignment and weakening international cooperation is fundamentally changing how financial crime risk manifests. For...

South Korea’s Financial Services Commission (FSC) has set out an ambitious agenda to overhaul the country’s financial system, positioning reform as a central pillar...

Investment managers are entering 2025 facing a more demanding compliance environment, shaped by heightened regulatory scrutiny and rising expectations from institutional clients. According to...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to financial firms experimenting with generative AI: adoption is racing ahead, while governance...

Accurate and timely Form ADV filings play a central role in maintaining trust with regulators and protecting an investment adviser’s reputation. When firms fall behind,...

US financial markets are evolving quickly as exchanges adapt to changing trading behaviours and a growing retail investor base. Products designed around speed and accessibility,...

The word “exam” tends to trigger anxiety, whether it comes from a school, a doctor, or a financial regulator. In financial services, however, regulatory...

Is your communications compliance framework ready for 2026? That was the central question behind a recent research initiative surveying 100 compliance, IT and surveillance...