FINRA Rule 6437

Widening gap between investor sentiment and geopolitical vulnerabilities calls for resilience over sudden market corrections.

Businesses must prepare early and apply before the FCA gateway closes on February 28, 2027, to avoid facing criminal liability when the new regime begins on October 25, 2027.

Changes in the surveillance function were the focus of one discussion at XLOD Global.

Regulator says new rules will pave way for smarter, simpler, more proportionate transaction reporting requirements, while preserving ability to detect misconduct.

Our interview with Steve Penry explores the experience and insights that shape effective compliance across energy and financial markets.

Discussion on this panel at XLOD Global centered on interpreting and implementing evolving expectations on non-financial risk.

High-level review of the FCA's cryptoassets regime policy statements, finalized guidance and two further guidance consultations.

PwC experts outline how unified platforms and Al agents can redefine surveillance.