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Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
New framework will align regulatory requirements with broader national objectives, including the UAE Strategy for Islamic Finance and Halal Industry as well as Dubai's Economic Agenda (D33).
A thematic review looked at capacity and resources, policies and procedures, examples of good practice, and advice on where improvements can be made.
Proposals reflect established international approaches to operational resilience and will be familiar to Authorized Firms that are already subject to regimes in the UK and EU.
Regulation targeting the financial sector continues to evolve. We explore the EU's future approach, where reforms are balanced with core safeguards – alongside perspectives from other key markets for the Nordic and Baltic region.
DFSA fines two firms for inadequate system controls, reporting failure and deceptive conduct.
Review reveals shortcomings including lack of clarity in existing policies, failure to carry self-assessment, and narrow scope on what counts as conflict of interest.