By Jaclyn Jaeger2017-07-18T10:45:00
The U.K. Financial Conduct Authority fined a compliance oversight officer £75,000 for failing to exercise due skill, care, and diligence concerning pension transfer failings.
2025-11-03T19:09:00Z By Ruth Prickett
The energy sector faces rising regulatory activity, with more rules and enforcement. Bribery, corruption, and sanctions now dominate compliance concerns, driving rapid change and pressure on compliance officers.
2025-10-30T19:44:00Z By Ruth Prickett
The U.K. Financial Conduct Authority (FCA) has opened a consultation on its plans to support “tokenization” – the digital representation of assets on distributed ledger technology (DLT). It is calling for firms to respond to the consultation before November 21. The financial regulator said in a press release on Oct. ...
2025-10-30T19:39:00Z By Neil Hodge
Companies could face significant compliance challenges in trying to meet new EU legal requirements about how companies share data with third parties.
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