Tag: governance

The Office of the Comptroller of the Currency (OCC) has set out a fresh package of measures aimed at easing unnecessary regulatory burden on...

In late February 2026, a prominent US educational institution agreed to pay $1.72m to the US Treasury to settle allegations that it processed tuition...

Consumer Duty has moved decisively beyond its implementation phase and into a period defined by scrutiny and substance. For UK wealth and retirement firms,...

AI is rapidly reshaping how organisations manage customer complaints, turning what was once a reactive administrative function into a strategic pillar of compliance and...

The FCA's launch of its inaugural Enforcement Watch newsletter marks a notable evolution in how enforcement expectations are communicated to the market. According to...

In compliance, technology may shape outcomes, but culture ultimately determines how those outcomes unfold. The compliance function has historically relied on labour-intensive, manual processes,...

Artificial intelligence has moved rapidly from an experimental capability to a foundational pillar of RegTech, forcing financial institutions to reassess how compliance teams are...

Not long ago, financial crime risk assessments were often approached as a box-ticking exercise. Many firms treated them as annual paperwork designed to satisfy...

UK asset managers are entering 2026 with a regulatory agenda that is becoming both broader and more operational, as post-Brexit reforms shift from design...

2025 has been an important year for global compliance, with regulators increasing expectations across a range of fronts and has forced firms to rethink...