Conduct
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Dubai regulator levies some of its heaviest fines yet
DFSA fines two firms for inadequate system controls, reporting failure and deceptive conduct.
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FIN-FSA announces renewed strategy with supervisory priorities
During 2026, the Finnish authority will focus on the operation of digital services and the financial preparedness of supervised entities.
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UK financial services regulation: 2025 trends and the 2026 outlook
Supervision, enforcement, and the need to embrace outcomes-focused conduct.
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Key points for the insurance sector from the latest Mansion House speech
Overview of the UK financial services growth strategy; HMT changes to the insurance risk transformation regime and captive insurance regulatory framework; and SMR and FOS reforms.
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Compliance & Conversation: The culture club
Leading figures from financial services discussed some of the pressing issues of the day including: conduct and culture, AI, recordkeeping and surveillance.
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Experts unplugged: FCA non-financial misconduct survey
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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DFSA fines former private banker $980,020 for misleading and deceptive conduct
The Dubai financial services regulator has now banned him from holding office or being employed by a DFSA-authorized firm.
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Compliance & Conversation: Making the most of SMCR
Seung Earm and Mark Taylor discussed the Senior Managers & Certification Regime at Global Relay’s gathering of compliance professionals.