Compliance
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OPINION: Sustainability’s million-dollar problem
In order for companies to stay competitive and drive better sustainable outcomes, they need to align ISO standards with their ESG reporting.
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The quiet calculus of settlement: How compliance teams decide when to fight and when to fold
In compliance disputes, the real decision is not whether to settle, but whether to control the timing and cost of an outcome that is almost always negotiated.
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Regulators and industry signal data revolution to end compliance whack-a-mole approach
RegTech Conference 2026: This session explored MiFIR transaction reporting as a test case for FCA and ESMA’s burden reduction and data strategies.
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SEC enforcement highlights valuation risks in affiliated loan transactions
After reviewing a recent case, Janaya Moscony offers lessons learned and explains why this matters for advisers.
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Millions to be compensated as FCA confirms car finance redress scheme
Changes to the original scheme are a result of “conflicting feedback from consumers, their representatives, firms, manufacturers and industry bodies,” the FCA has said.
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FinCEN advisory warns of expanding healthcare fraud, empowers whistleblowers
The advisory urged insiders at financial institutions to be vigilant for fraudsters, organized crime groups, and transnational criminal organizations that increasingly target government benefits programs.
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Rebecca Fike talks to GRIP about SEC enforcement and more
Fike, former SEC senior counsel, told us about the effects of uncertainty and tempered enforcement activity at the SEC on her clients, and her advice to them.
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FCA highlights key issues and required changes around regulatory perimeter
The regulator has certain powers and tools it can use to protect consumers, support market integrity, promote competition, and facilitate the UK’s international competitiveness. But not everything is within its remit.