Governance & Reporting
October 18, 2022
Should regulators be elected?
The past 12 months have seen a number of major political changes in many Western democracies, notably the retirement of...
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September 29, 2022
Record-keeping failures land financial firms with $1.8bn fines
The Securities and Exchange Commission (SEC) levied $1.1bn in fines on 15 broker-dealers and one affiliated investment adviser. Separately, the...
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September 15, 2022
Preparing for the CFTC Rewrite with Digital Regulatory Reporting
One of the challenges facing financial institutions when it comes to compliance is the lack of standardisation across regions. This...
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August 10, 2022
FCA consumer duty rules may force some UK banks to review business models
The duty applies to all firms providing financial services and products to retail consumers and will come into force in...
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August 9, 2022
ESG in focus for 2022 proxy season
ESG remains a hot topic for public company stakeholders, with intelligence firm Georgeson finding 55% more ESG proposals voted on...
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July 2, 2022
Onus on ESG funds to clean up act or face regulatory enforcements
Over the last year, financial authorities around the world have grown increasingly alarmed that they could be presiding over mis-selling...
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July 2, 2022
Brexit: London’s foothold in the ESG regulation race
Amid rising concerns around climate change, environmental, social and governance (ESG) has become a top priority in the past five...
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June 22, 2022
Most financial firms have seen compliance costs rise in last five years
These costs reflect having to comply with a growing volume of increasingly complex regulatory requirements. In a report published June...
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June 1, 2022
PRA doubles down on financial operational resilience
On May 25, the PRA’s executive director for supervisory risk, Duncan Mackinnon, said a “long journey” has started towards achieving a...
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May 31, 2022
ESMA predicted to get tough on reporting failures
The warnings come from ACA Group, a governance, risk and compliance firm and Broadridge Financial Solutions. ACA Group recently carried...
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May 30, 2022
SEC’s ambitious climate reporting goals face practical hurdles
The Securities and Exchange Commission (SEC) proposals will echo around the world as other securities regulators feel bound to keep...
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