Tag: financial regulation

The term "deregulation" is increasingly prevalent among global policymakers, with a common narrative about cutting through the bureaucratic red tape that supposedly stifles competition. Since the 2008 financial crisis, financial institutions have been operating under a dense regulatory framework designed to mitigate risks and uphold financial stability.

Investment advisers with a 31 December fiscal year-end are in the midst of updating their Form ADV, with a deadline set for 31 March 2025.

Key Indian RegTech investment stats in 2024: Indian RegTech funding fell by 43% in 2024 YoY Average deal value dropped to $6m as investors...

At the end of 2024, the AMF Position-Recommendation DOC-2020-03, commonly known as the AMF Doctrine, was amended to bring it in line with the European Securities and Markets Authority’s (ESMA) guidelines on fund naming.

Since 2024, the Trump administration has been actively exploring the consolidation of the United States' federal financial regulators. According to Corlytics, initial discussions about...

In December 2024, the South African Treasury published the draft AML and CTF Amendment Bill, which is now open for public comment.

TD Bank has been slapped with a staggering $3bn penalty for breaches of the BSA marking a record-setting moment in U.S. financial regulatory history.

Key Global RegTech investment stats in Q3 2024: Global RegTech funding halved in Q3 QoQ UK leaps to the top of the pack as...

KYC regulations serve as a critical safeguard in Mexico, a country identified by the U.S. Department of State as a major conduit for laundering...

Enhanced Due Diligence (EDD) represents an advanced level of scrutiny, serving as a crucial component beyond basic KYC checks.