Tag: regulatory compliance
Year-end crunch exposes hidden gaps in compliance teams
As October arrives, many regulatory and compliance teams face two competing demands. Year-end deadlines are adding to an already heavy workload, while the annual...
Why US investment managers can no longer wing compliance
US investment managers expecting a more relaxed regulatory environment in 2026 may need to reconsider. Regulatory scrutiny remains focused on investor protection, fiduciary responsibilities...
State regulators fill the gap as federal oversight retreats
Financial institutions that depend on “federal only” regulatory coverage are taking on more risk than they may realise. States pursue their own regulatory agendas,...
Policy drift exposes gaps in SEC compliance reviews
Investment advisers that rely on annual compliance reviews risk overlooking gaps between written policies and day-to-day practices, according to a recent Risk Alert from...
Can your AI compliance decisions survive a regulator’s audit?
As financial institutions lean more heavily on AI to support compliance decisions, a pressing question is emerging: can they prove how those decisions were...
US WealthTech funding hit five-quarter high as investors loosened purse strings...
Key US WealthTech investment stats in Q3 2026: US WealthTech funding hit five-quarter high in Q3 after capital invested doubled YoY
Average deal value...
ISO update burden threatens insurers’ pricing efficiency
For commercial insurers, keeping pace with ISO updates is a necessary part of maintaining compliant products and pricing. But as ISO expands its Commercial...
US strengthened its FinTech dominance further, securing half of all deals...
Key global FinTech investment stats in H1 2026: Global FinTech funding grew 14% YoY
US companies secured half of all deals in H1 to...
Prometeia platform gives AfDB central grip on model risk
Prometeia, the Italian risk management and advisory specialist, has completed the implementation of its Prometeia Model Journey (PMJ) platform at the African Development Bank...
Channel sprawl exposes banks’ surveillance identity problem
When a regulator comes knocking, it does not ask for a single channel's records. It asks about a person: a name, a time window...
© Copyright 2026 FinTech Global. All Right Reserved
