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Latest News
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Morgan Stanley Smith Barney fined $1.5m for inadequate supervision
Firm found to have no policy or procedure in place that could have detected misappropriation of $10m.
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FSB report highlights need to minimise AI risk to financial stability
What are the implications of AI adoption in the financial sector? We take a look at the key findings from FSB’s latest report.
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Gensler speech offers a look back at 2024 rulemaking
Gary Gensler spoke of how his agency has updated the securities laws to promote US capital markets and spur economic success.
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New ASIC report showcases increased investigations and civil proceedings
The Commission started more investigations, yet criticism still present as total fines and civil penalties decreased substantially.
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SEC releases fiscal year 2025 examination priorities
Emerging risk areas (such as AI), plus cybersecurity, crypto and AML in focus as we dig deep into Examination Priorities document.
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Danish municipalities need to do more for processing security, report shows
The Danish Data Protection Authority inspected 48 municipalities.
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FCA adviser strategy to review consolidators and data-led supervision
Time for financial advisers and investment intermediaries to review their processes as additional regulatory scrutiny looms.
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FCA work in review September 17 – 23, 2024
Our at-a-glance guide to recent FCA activity.