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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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CMA consulting on Google conduct requirements
Targeted rules for the business may be introduced as a result of its strategic market status in search services.
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Mills Review shows FCA positive but cautious about AI use in financial services
The review represents a shift from monitoring AI to assessing long-term impact on markets and consumers.
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FINRA disciplinary action update 2026/2
Disciplinary decisions issued January 17 – 23, 2026.
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Bank of Scotland fined for breach of Russia sanctions
The UK’s OFSI states that the case “highlights important compliance lessons for a wide range of industry stakeholders.”
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OPINION: EU Data Act does not apply to all data businesses
While drafted very broadly, it is important to keep in mind that the Act’s primary focus is empowering consumers and that its reach may not extend to all digital services.
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FINRA disciplinary action update 2026/1
Disciplinary decisions issued January 1 – 16, 2026.