- Regulation
- Technology
- Resources
Latest News
-
ASIC roundup: SocGen fined A$3.88m, and a ‘cavalier attitude to compliance’
The Australian Securities & Investments Commission’s latest actions and news, September 1 – 5, 2025.
-
How RIAs can build a sturdy compliance program
An at-a-glance guide to building a robust compliance program, and the role of the CCO.
-
Multiple actions connected to Shield Master Fund taken by ASIC
Actions against eight parties relating to the failure of the Shield fund were taken during week 35.
-
New FinCEN AML Rule brings investment advisers under bank-like scrutiny
The rule places RIAs and ERAs under Bank Secrecy Act-style compliance obligations.
-
FINRA industry snapshot 2025 shows firm concentration in size, location
Snapshot provides a high-level overview of FINRA membership; the data is reported in aggregate to respect confidentiality of member firms.
-
FCA proposes once-in-a-generation changes to UK financial advice services
One key proposal is the introduction of “targeted support”, aimed at people with common financial characteristics.
-
OPINION: SEC scraps 14 rule proposals, but don’t be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn’t necessarily equate to “a hands off regulator.”
-
SEC withdraws 14 rule proposals
The pending rules would have addressed hot-button regulatory areas like predictive data analytics, climate reporting, and cybersecurity risk management.