Tag: financial regulation

The evaluated pricing landscape is undergoing a significant transformation, driven by technological advancement, regulatory updates, and investor demand for transparency. At the 3rd Annual...

Firms regulated by the SEC or FCA must treat regulatory examinations and supervisory visits as part of their business-as-usual operations. While SEC exams are...

For many compliance professionals, keeping up with regulatory change is like flying a plane while simultaneously building the runway—with a blindfold on. The rules...

The UK’s FCA has unveiled a new initiative aimed at boosting artificial intelligence (AI) adoption across the financial sector. The regulator announced the launch...

The ASIC has raised serious concerns over the compliance standards of REs overseeing managed investment schemes, after a targeted review found major shortcomings in...

South Korea is taking a significant step toward achieving its carbon neutrality goals by announcing plans to train 200 specialists in green finance within...

The European Securities and Markets Authority (ESMA) has finalised two key regulatory updates that will significantly impact investment firms and asset managers. These changes refine how firms approach order execution and manage research payments under MiFID II.

Droit has integrated LSEG’s Global Shareholding Disclosure Data into its Position Reporting platform, in a move designed to help financial institutions automate and simplify regulatory reporting obligations.

The European Securities and Markets Authority (ESMA) has opened a public consultation on proposed rules aimed at regulating ESG rating providers.

As the Bank of England's Financial Policy Committee scrutinizes the integration of advanced AI technologies in trading and investment activities, it has raised concerns...