Tag: regulatory compliance

A seemingly minor technical hiccup can erupt into a full-blown ESG crisis within hours in today’s hyper-connected environment. One Friday evening, a brief payment...

The ASIC has raised serious concerns over the compliance standards of REs overseeing managed investment schemes, after a targeted review found major shortcomings in...

Broadridge Financial Solutions has formed a partnership with Novisto, an enterprise software provider specialising in sustainability data management and reporting. The collaboration aims to deliver...

New research from Datamaran has revealed how European companies are tackling the EU’s Corporate Sustainability Reporting Directive (CSRD), with many still in the early...

The European Securities and Markets Authority (ESMA) has finalised two key regulatory updates that will significantly impact investment firms and asset managers. These changes refine how firms approach order execution and manage research payments under MiFID II.

Ocorian has entered into a partnership with Fenergo, a leading provider of AI-powered CLM solutions. The partnership aims to support Ocorian’s ongoing digital transformation strategy...

Artificial intelligence has firmly embedded itself in financial services, transforming compliance functions in ways unimaginable a decade ago. It promises smarter risk detection, operational efficiency, and faster insights. But with these opportunities come new regulatory challenges, ethical concerns, and the growing threat of AI-powered crime.

The Financial Services Regulatory Authority (FSRA) of Abu Dhabi Global Market (ADGM) has launched a public consultation to revise its prudential framework for lower-risk...

Renewing sanctions and Politically Exposed Persons (PEP) contracts is a critical component of staying compliant in the fast-evolving regulatory landscape. As financial institutions navigate...

In today’s fast-moving workplace, many employees are familiar with the surprise of a new software platform suddenly appearing on their screens—often with little to no prior warning or consultation. While well-intended, these abrupt technology rollouts can lead to unintended disruption, especially when key users are left out of the decision-making process.