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SEC’s Regulation S-P outreach puts small firms on notice
Through its dedicated outreach program the SEC offered small firms the clearest indication yet on how compliance with the 2024 Regulation S-P amendments will be examined.
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FINRA flags AI use recommendations in 2026 report
Trends in AI listed for the first time.
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FINTRAC hits five real estate brokerages with C$368k in AML penalties
Five firms face administrative monetary penalties after exams found gaps in AML programs and suspicious transaction reporting.
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FINTRAC fines First Nations Bank of Canada C$600,000 for AML/ATF compliance failures
The agency claims the bank neglected to file STRs in 31% of cases containing at least one suspicious transaction, among other deficiencies.
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Wealth management firm fined by FINTRAC for AML failures
Lack of written policies and oversight was at the center of the enforcement action against independent firm “considered a securities dealer” by regulator.
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Federal Reserve governor Bowman highlights bank culture as key influence on business outcomes
The speech also covered monetary policy, bank M&A and liquidity regulation.
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General Election 2024: What Labour and the Conservatives say on sustainability and sustainable finance
Harriet O’Brien looks at the pledges in the manifestos.
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Where should the next UK Government take AI regulation?
There are challenges and opportunities for the new UK government to regulate AI and become a global AI leader.