Regulatory
News, analysis and practical insights that focus on regulators, regulation and global actions to level the business playing field.
AllArticles
17 results
Enforcement Actions
US regulators fine security companies for cyber, data and privacy breaches
US regulators have doled out some hefty fines to security companies for cyber and data security failures and privacy breaches....
UK Regulation
UK FCA changes official stance opposing payments to whistleblowers
The UK Financial Conduct Authority (FCA) has changed its decade-long opposition to paying whistleblowers. “We recognise that there are benefits...
Regulatory Reform
No one is using FCA rule review tool, experts weigh in on why not
In January 2024 the Financial Conduct Authority (FCA) created a tool with which stakeholders could ask the regulator to carry...
Compliance
UK FCA closes more whistleblowing investigations, makes fewer interventions for causing harm
Fewer investigations of protected disclosures are leading to the UK Financial Conduct Authority (FCA) intervening to prevent harm, according to...
Europe, Middle East, Africa
Countdown to DORA: Non-traditional finance firms face biggest challenge
The European Union’s Digital Operational Resilience Act (DORA) finally kicks in, to all intents and purposes on January 17, 2025....
Regulatory Reporting
UK regulator’s grace period ends for MiFID II transaction reporting failures
The Financial Conduct Authority’s (FCA) latest Market Watch publication signals the end of the long grace period for Markets in...
Enforcement Actions
Luxembourg’s CSSF issues first-of-its-kind ESG fine to Aviva Investors
Luxembourg’s financial regulator, the Commission de Surveillance du Secteur Financier (CSSF), has fined Aviva Investors Luxembourg 56,500 euros after an...
Regulatory Reform
UK overhauls bankers’ bonuses, strengthens clawback for senior managers
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) are consulting to extend the reach of the UK’s clawback...
