Tag: regulatory compliance

For compliance teams at asset management firms, allocation review has quietly become one of the most thankless tasks in the working day. Hours are...

There is a pattern that most money laundering reporting officers (MLROs) will recognise immediately. A request goes out for inputs to the financial crime...

Transaction reporting has always been the backbone of market abuse surveillance, but the rules of the game are shifting. As regulators deepen their reliance...

As digital onboarding becomes the norm, businesses are finding themselves increasingly exposed to document fraud, and their existing processes are struggling to keep pace. According...

In every regulated organisation, the board of directors carries ultimate responsibility for ensuring that the financial crime risk framework is fit for purpose, effective...

Investment managers operating across borders are facing a wave of regulatory change, with new disclosure obligations, revised marketing rules and updated registration frameworks now...

AI has rapidly become one of the most overused terms in anti-money laundering (AML) technology. Vendors across the sector now claim their platforms are AI-enabled,...

Regulated financial institutions face mounting pressure to keep customer records not merely compliant at the point of onboarding, but continuously accurate, auditable and inspection-ready....

The UK's Senior Managers and Certification Regime (SMCR) is entering a new chapter — one that promises greater operational flexibility for firms while keeping...

The role of the money laundering reporting officer has undergone a profound transformation. Where once it centred on regulatory expertise — understanding obligations, controls,...