-
Joint federal-state effort to alert people about relationship investment scams
The nationwide collaboration seeks to help potential victims recognize relationship investment scams and what to do when witnessing these.
-
FINRA releases 2025 Regulatory Oversight Report
Compliance trends, emerging risk areas and best practices pointers are highlighted.
-
BMO Capital Markets in $40.6m settlement with SEC over bond sale supervision
SEC says BMO failed to properly supervise employees who sold certain bonds, but notes it has remediated lexicons, policies and training in this area.
-
AI in healthcare, children’s data, and right to erasure among Danish DPA’s priorities for 2025
One of the Danish Data Protection Authority’s new priorities is to supervise how AI is being handled in the healthcare sector.
-
FIN-FSA announces supervisory priorities for 2025
The Finnish authority will keep some of its supervisory priorities from 2024, and aims to release key findings from inspections.
-
US and state agencies move to tighten regulation around financial transaction tech
Massachusetts tightens stance on money transmission, while the FTC amends its complaint against cash advance app Dave.
-
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.
-
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.