Tag: Financial Regulations

In today's rapidly evolving financial environment, mere regulatory adherence is insufficient for firms aiming to lead the market.

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication...

Navigating the ever-changing landscape of financial regulations is challenging. Traditional methods of regulatory change management are often manual, slow, and resource-intensive, struggling to keep...

In the financial regulatory landscape, understanding and adhering to FINRA's Rule 2090, commonly known as the KYC rule, is crucial for brokerage firms.

The US, UK, and EU each implement a "50 percent rule" within their sanctions frameworks, crucial for monitoring international financial activities.

The Australian Government recently unveiled a consultation aimed at overhauling its AML and CTF strategies.

In the complex world of finance, due diligence is essential for protecting a company’s reputation and financial well-being. As customer demands for convenience increase and regulatory scrutiny intensifies, finding a balance is more important than ever. The solution lies in an innovative tool—KYC Portal Customer Lifecycle Management (CLM). The RegTech company recently compiled a guide on its role in enhancing due diligence processes.

In the ever-evolving landscape of financial regulations, staying compliant is more critical than ever. The European Market Infrastructure Regulation (EMIR) and its forthcoming amendments,...

In a recent groundbreaking market research conducted in the UK by everyoneINVESTED, a significant revelation was made regarding investors' awareness of investment risks. The study, which delved deep into the intricacies of investment risk, found that individuals with prior investment experience, particularly those who had been profiled, demonstrated a heightened awareness and understanding of the risks associated with their investment choices.

In an industry-wide call to action, several prominent associations have voiced their concerns over the potential consequences of the current draft text of Recital 34 in the Anti-Money Laundering (AML) Regulation.