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SIFMA Annual 2024: Rostin Behnam on digital assets, betting markets and treasury clearing
Our latest report on keynote speeches at the recent SIFMA event in New York features CFTC Chair Rostin Behnam.
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How to navigate a skilled person review
Current trends and practical guidance to navigating a skilled person review.
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Getting the best out of your CASS audit
With the CASS audit season being just around the corner for many investment firms, it’s worth exploring what you can do before and during your audit to ensure you get the right result delivered efficiently.
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Persistent AML risk analysis shortfall among Swiss banks, FINMA reveals
In response to the findings, the Swiss regulator has published guidance to enhance risk practices.
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When assessing threat, know your sharks from your mosquitoes
The success of a threat assessment depends on the criteria you use.
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FCA market abuse peer review: key findings
Market abuse peer review of firms offering CFDs and spread bets identifies insider dealing as primary abuse risk.
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FCA outlines market abuse prevention best practice at CFD firms
Regulator’s granular observations useful to other market participants in order to ensure that their surveillance approach meets expectations.
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Musk and global tech experts urge pause in AI development
More than 1,000 big tech names have signed an open letter calling for a halt to ‘out-of-control’ AI race.