- Regulation
- Technology
- Resources
Latest News
- Industry
Supervision
-
ESMA supervisory briefing on algorithmic trading in the EU
Key points and practical implications in the areas of governance, testing, outsourcing, and pre-trade controls.
-
Report highlights weaknesses in AML supervision among UK firms
OPBAS says the accountancy and legal sectors make a significant contribution to UK GDP, but there is significant room for improvement in supervision.
-
Shorter corporate disclosure through rule changes is aim of SEC’s Atkins
The SEC chair outlined corporate disclosure reforms he has asked SEC staff to explore, such as on executive comp and executive personal security.
-
Financial sector supervision in 2026: Swedish FSA’s priorities
Special focus will be placed on financial firms’ efforts in combating crime, risk management, and consumer protection.
-
SEC’s Daly mulls strategy for e-delivery, recordkeeping clarity, and AI as firms automate
“What if we reimagined disclosure using large language models?”
-
Lietuvos Bankas sets out agenda for dialogue with financial sector
The central bank intends to hold 17 events tied to compliance-central topics such as DORA, AML, and third-party risk management.
-
FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved “at least 3,560 text messages” about firm business, including sensitive personal information and investment advice.
-
ASIC urges super trustees to improve scam and fraud prevention practices
Call comes after a recent review found serious gaps in communication with fund members, raising concerns about potential harm from scammers and fraudsters.