Tag: supervisory compliance
DORA compliance: closing the gap between contract and exit
Most financial institutions assume their exit obligations under the Digital Operational Resilience Act (DORA) are satisfied the moment a contract contains termination rights and...
FCA annual programme signals tougher oversight ahead
The Financial Conduct Authority's (FCA) Annual Work Programme for 2026/27 offers the clearest picture yet of how the regulator plans to supervise firms as...
FINRA’s $300 gift rule: what compliance teams must know
For the first time in more than three decades, FINRA has raised the annual gift limit under Rule 3220. The Securities and Exchange Commission...
© FinTech Global © Copyright 2024. All rights reserved.
