Tag: regulatory compliance

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,...

Online trading platforms built for speed are running headlong into one of global finance's most demanding regulatory frameworks — and the cracks are starting...

Zeidler Group, a technology-driven law firm and regulatory compliance services provider for the asset management industry, has named Serena Goldberg as its new chief...

For much of the brokerage industry's recent history, investment followed visibility. Trading platforms became the defining battleground — sleek multi-asset interfaces, mobile-first dashboards, and...

Financial crime compliance (FCC) is undergoing a generational transformation — one arguably more profound than the regulatory overhaul that followed the September 2001 terrorist...

Tax reporting solutions are undergoing rapid transformation as firms grapple with mounting regulatory complexity. With FATCA, CRS and other cross-border obligations generating ever-greater data...

Ask a compliance officer how their programme is performing and you are likely to receive a carefully hedged response. Ask them what excellence looks...

For compliance teams currently working through their FATCA and CRS reporting cycle, the pattern will feel all too familiar. What ought to be a...

Funds have become a cornerstone of modern investing — but they are quietly creating a growing blind spot in employee trading controls, one that...