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GRIP Extra: Exec order targets state AI regulations, EU digital omnibus published
Our in-brief roundup of notable stories from the last week.
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JPMorgan Chase fined record €45m by German regulator for AML failures
Wall Street’s largest bank has been accused of delays in SAR submissions in relation to anti-money-laundering and terrorist financing obligations.
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Financial regulators discuss challenges at Energy Trading Week Europe
Commodity derivatives were a particular focus in a wide-ranging exchange.
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BaFin calls contingency planning and stress testing critical
The regulator’s supervisory statement seeks to clarify its expectations of brokers in connection with client securities trading during times of market turbulence.
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BaFin publishes DORA document requirements cheat sheet
Comprehensive register of key documents is relevant to all organizations running digital systems and needing to ensure their security.
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GRIP Extra: Appeals court clears CFPB takedown, CFTC reviews internal time and attendance compliance
Our in-brief roundup of notable stories from the last week.
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BaFIN to intensify third-party supervision in 2025
The regulator continues to be concerned about outsourcing dependency and concentration risk and wants to obtain clarity on technology interconnectedness in the financial sector.
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Compliance & Conversation: Preparing for DORA implementation
Ashurst Partner Bradley Rice addressed some of the key practical challenges of DORA at Global Relay’s gathering of compliance professionals.