Tag: supervisory compliance

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...

120,000+ FinTech leaders get exclusive industry stories delivered every week