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FCA moves to tackle non-financial misconduct at firms
Under the new rules, serious bullying and harassment in all regulated firms will qualify as misconduct.
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FCA proposes once-in-a-generation changes to UK financial advice services
One key proposal is the introduction of “targeted support”, aimed at people with common financial characteristics.
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CFPB unveils future plans for criminally liable offenses
The move corresponds to the Trump administration’s efforts to scale back criminal enforcement across agencies.
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Asia-Pacific in focus: June 2025 at a glance
The latest in our new series of roundups from the financial regulation industries across the Asia-Pacific region.
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SEC roundtable discusses executive comp disclosure requirements
At the event, speakers addressed the complexity and cost of regulations, plus the significance of disclosure to investor protection.
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FINRA updates rules and rethinks oversight with broader input
FINRA’s latest board meeting brought key rule changes, expanded advisory input, and fresh focus on financial and cybersecurity oversight.
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OCC charts a new course on criminal referrals amid regulatory reset
The OCC’s new guidelines limit criminal referrals to cases involving clear intent and significant harm.
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Some foreign firms could face tougher access to US markets
The SEC said it welcomes comment on the burdens or benefits that may result from the possible regulatory responses noted in its release.