Tag: regulatory oversight

FINRA’s 2026 Annual Regulatory Oversight Report has set a clear tone for the year ahead, placing generative AI (GenAI) governance and off-channel communications squarely...

AI is no longer a passive productivity tool sitting quietly in the background of the workplace. Across financial services and other regulated industries, AI...

Generative AI is no longer an emerging concept for compliance teams. Over the past year, it has become a practical tool embedded into everyday...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to financial firms experimenting with generative AI: adoption is racing ahead, while governance...

The Financial Crimes Enforcement Network (FinCEN) has recently issued a pivotal final rule that mandates registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish comprehensive anti-money laundering (AML) and countering the financing of terrorism (CFT) frameworks under the Bank Secrecy Act (BSA).

A Hong Kong-based investment management firm has partnered with MyComplianceOffice (MCO) to streamline, centralise and improve compliance within its operations. 

The European Single Access Point (ESAP) is a significant stride towards transforming the EU’s approach to sustainable finance.

In today's evolving regulatory environment, financial institutions are increasingly turning to technology to manage their regulatory lifecycles effectively. According to Ascent, automation is becoming...

Sling Money, an innovative payments platform, today announced a significant boost to its capabilities with a $15m Series A funding round. The investment was...

In a significant move set for October 2024, the MAS will implement changes to the over-the-counter (OTC) derivatives reporting requirements.