Tag: financial regulation

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...

The FCA has outlined a package of reforms aimed at reshaping the UK mortgage market, with a particular focus on improving access for first-time...

Reputational risk has long played a prominent role in how U.S. financial institutions assess and manage threats to their business models, earnings, and operational...

The FCA has unveiled a sweeping package of policy reforms aimed at boosting investment participation, strengthening market confidence and reaffirming the UK’s status as...

For years, broker-dealer groups have questioned whether their representatives could be paid through personal service companies. The practice is common in other industries, where individuals...

The FCA has issued a landmark consultation setting out one of the most significant changes to the UK’s MiFIR transaction reporting regime since its...

FINRA’s recent focus on artificial intelligence marks a significant moment for US financial regulation, with the organisation accelerating efforts to embed GenAI into its...