DFSA fines two firms for inadequate system controls, reporting failure and deceptive conduct.
Conduct
During 2026, the Finnish authority will focus on the operation of digital services and the financial preparedness of supervised entities.
Supervision, enforcement, and the need to embrace outcomes-focused conduct.
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.
Leading figures from financial services discussed some of the pressing issues of the day including: conduct and culture, AI, recordkeeping and surveillance.
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
The Dubai financial services regulator has now banned him from holding office or being employed by a DFSA-authorized firm.
Seung Earm and Mark Taylor discussed the Senior Managers & Certification Regime at Global Relay's gathering of compliance professionals.