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Financial Enforcement Action Tracker - State & Federal Agencies

Track enforcement actions from State and Federal Agencies with our Weekly Enforcement Action Summary. Find out which agencies have been most actively issuing enforcement actions, who is getting fined, how much, and due to which violation. Compliance.ai tracks financial enforcements in our Free Weekly Enforcement Summary

Britain

New U.K. rules broaden accountability of senior managers

Britain’s financial services industry is bracing for new rules that will significantly broaden the scope of senior executives who will be personally held to account to U.K. regulators for failures that occur under their watch.