Compliance
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OPINION: What could the second Trump era mean for audit, risk and compliance teams?
Audit expert Richard Chambers takes a look at the key factors most likely to influence compliance risk.
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Crypto wrap: A $6m banana, jail terms, and more Trump
Latest roundup from the world of crypto.
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FINRA disciplinary action update 2024/44
Disciplinary decisions issued November 9 – 15, 2024.
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OPINION: Failure to prevent fraud offence – well intentioned or naive?
Will the UK’s new failure to prevent fraud offence help or hinder companies? Tony McClements states his case.
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Upskilling compliance, trust in AI and enforcement discussed at roundtable
Compliance professionals wrestled with current challenges at the latest Hedge Funds Global Relay event in London.
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Gap between statements and actions on corruption leaves questions after G20 summit
The G20 Brazilian Presidency was praised for its leadership in fighting corruption, but criticisms abound from Transparency International.
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ECB unsure about publishing details of research into capital requirements for EU lenders
The study was compiled last year to counter mounting pressure from the banking sector.
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FCA work in review: November 11-18, 2024
Our at-a-glance guide to recent FCA activity.