Transparency in Oversight: SEC Releases Comprehensive Handbook to Streamline Regulatory Examinations
In a move aimed at demystifying the regulatory oversight process, the U.S. Securities and Exchange Commission (SEC) Division…
#regulatory
21 Articles
The China Trap: Why Standard Internal Investigation Playbooks Fail in a Changing Regulatory Landscape
By Trevor Treharne October 22, 2026 For many multinational corporations, the "Standard Operating Procedure" for internal investigations has…
The Third-Party Risk Imperative: Navigating an Era of Geopolitical Volatility and Regulatory Aggression
By Ruth Prickett The modern corporate landscape is undergoing a seismic shift in how financial crime risk is…
Regulatory Hammer Falls: American Express Hit with $350 Million Penalty Over AML Deficiencies
In a significant regulatory crackdown that underscores the escalating scrutiny facing major financial institutions, American Express (Amex) has…
Barclays Secures Regulatory Green Light for Targeted Investment Support: A New Era for Retail Investors
In a significant move aimed at democratizing access to financial markets, Barclays has received formal approval from the…
The Digital Frontier: ESMA Sets Sights on AI and Tokenization for 2027 Regulatory Overhaul
By Neil Hodge The European Union’s financial landscape is poised for a significant transformation as the European Securities…
SEC Penalizes OTC Link LLC: A Deep Dive into $575,000 Settlement Over Regulatory Lapses
By Adrianne Appel In a move reinforcing the U.S. Securities and Exchange Commission’s (SEC) ongoing commitment to market…
Back to Basics: SEC Enforcement Chief Signals Strategic Shift in Regulatory Oversight
By Adrianne Appel, Compliance Week September 24, 2026 In a significant pivot for the U.S. financial regulatory landscape,…
Escalating Regulatory Scrutiny: New Insider Trading Allegations Involving KPMG Employee
By Staff Reporter September 18, 2026 The landscape of corporate compliance and regulatory oversight is undergoing a seismic…
Adapting to the Algorithmic Age: Can the U.K.’s Principles-Based Regulatory Framework Survive AI?
By Neil Hodge September 14, 2026 As artificial intelligence (AI) rapidly integrates into the bedrock of the United…
