Tag: regulatory enforcement

Accountability is fundamental to trust in financial services, and a recent enforcement action from the UK's Financial Conduct Authority (FCA) shows what happens when...

Australian regulator AUSTRAC has compelled bet365 to sign a court-enforceable undertaking after uncovering serious gaps in how the online bookmaker assesses money laundering risk...

The US Securities and Exchange Commission (SEC) has settled with a Florida-based investment manager over fraud and misleading investor disclosures, serving as a stark...

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...

The UK’s Financial Conduct Authority (FCA) has delivered a stark warning to regulated firms in 2025, imposing more than £124m in fines by year-end,...

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...

Manual know your customer (KYC) processes continue to create friction across regulated financial services, slowing onboarding, frustrating customers, and quietly increasing compliance exposure. According to...

The word “exam” tends to trigger anxiety, whether it comes from a school, a doctor, or a financial regulator. In financial services, however, regulatory...

A single consent order can dramatically change the direction of a bank’s compliance programme. For many institutions, this enforcement measure represents a pivotal moment...

2025 has brought a sharp escalation in enforcement action against UK law firms over anti-money laundering (AML) failings, with regulators handing out some of...