The Securities and Exchange Commission (SEC) pursued fewer enforcement actions in 2025—an intentional outcome, the commission said.
Regulatory Policy
Posted inRegulatory Policy
New DOJ fraud division means broad realignment of resources and attorneys
A new U.S. Department of Justice division will lead investigations of government fraud, and take over duties—and staff, and funds– currently handled by other DOJ divisions and government agencies, Acting Attorney General Todd Blanche announced.
Posted inFinancial Services
Hong Kong wants to know if your bank has a culture problem
The Hong Kong Monetary Authority’s Bank Culture Reform program is now in its eighth year. The message for compliance teams everywhere is that regulators are moving from prescribing rules to evaluating whether culture actually works.
Posted inFinancial Services
FinCEN proposes overhaul AML rules, would end 2024 risk assessment requirements
A rule overhaul proposed by the U.S. Treasury Department’s Financial Crimes Enforcement Network is designed to reduce compliance burden and would free up banks from tracking all but the most egregious illicit financial activities.
Posted inRegulatory Policy
EU and U.K. asset managers must adapt for T+1 settlement now to start testing in 2027
On Oct. 11, 2027, the EU, U.K., and Switzerland will move to T+1 securities settlement. The date may seem distant, but the challenges are considerable.
Posted inAnti-Bribery
How to establish an anti-corruption and anti-bribery compliance program
The U.K. unveiled a new Anti-Corruption Strategy in December 2025, just as the EU unveiled its first Anti-Corruption Directive. Both jurisdictions have signalled that they are keen to push back on rising risks of corruption. But many organizations have no formal anti-corruption measures. Where should compliance start?
Posted inTechnology
MAS’s agentic AI playbook offers a governance lesson for every regulated industry
Singapore’s new AI risk handbook is more than a financial services toolkit. It is an early blueprint for how compliance, legal, and business leaders should govern agentic AI before the technology outruns their controls.
Posted inRisk Management
GSA’s draft AI Clause turns governance into a contractual mandate
A sweeping proposed federal procurement clause would push AI oversight out of policy decks and into compliance operations, vendor management, and real-time control testing.
Posted inRisk Management
U.K. competition regulator ‘very likely’ to use new enforcement powers despite government’s pro-growth agenda
New powers granted to the U.K.’s main competition watchdog will result in greater scrutiny, tougher enforcement, and a stark warning for companies to review their sales and marketing promotions—especially since some practices have been pushed firmly into the spotlight thanks to legislation that came into effect last year.
Posted inRegulatory Policy
SEC gets ball rolling on ending quarterly reporting, as investors urge caution
Disclosure requirements for public companies have ballooned over the decades and need to be reigned in, the three members of the Securities and Exchange Commission (SEC), said Thursday.
