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a-teaminsight.com /2 weeks ago

Holistic Conduct & Surveillance: Unifying Trade, Voice, and eComms Data with AI

Holistic surveillance is moving beyond data integration towards an operating model that can surface cross-channel evidence, assign escalation ownership, govern approved channels, o...

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jdsupra.com /4 weeks ago

UK FCA Market Watch 85—market conduct and transaction reporting issues

The UK Financial Conduct Authority (FCA) has published Market Watch 85, setting out how the information‑sharing provisions in the Economic Crime and Corporate Transparency Act 2023...

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a-teaminsight.com /1 month ago

FCA Market Soundings Review Puts Pre-Deal Controls Under Scrutiny

The Financial Conduct Authority (FCA) has used its multi-firm review of market soundings in UK equity capital markets (ECM) to evaluate how a long-established issuance practice aff...

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regulationtomorrow.com /1 month ago

Market Watch 85

On 29 April 2026, the Financial Conduct Authority (FCA) published Market Watch 85. In this edition of Market Watch the FCA discusses how the Economic Crime and Corporate Transparen...

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regulationtomorrow.com /1 month ago

FCA publishes findings in relation to market soundings in UK equity capital markets

On 20 April 2026, the Financial Conduct Authority (FCA) published its findings following its analysis of the impact of market soundings on market quality in equity capital market (...

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e27.co /1 month ago

Why the new MAS regulation makes continuous digital monitoring a business imperative

Singapore’s updated advertising guidelines, which took effect on March 25, are forcing banks and financial firms to rethink how they monitor advisers and influencers online — or ri...

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regulationtomorrow.com /1 month ago

New Notice in a Nutshell briefing: FCA fines Dinosaur Merchant Bank £338,000 for market abuse surveillance failures in i...

On 24 March 2026, the Financial Conduct Authority issued a Final Notice to Dinosaur Merchant Bank Limited, imposing a financial penalty of £338,000 for failing to detect and report...

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regulationtomorrow.com /1 month ago

FCA publishes observations in relation to Consumer Duty Board Reports

On 16 April 2026, the Financial Conduct Authority (FCA) published observations in relation to the first two years of consumer duty board reports. Background The FCA explained that,...

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natlawreview.com /1 month ago

UK Businesses, Take Note: The UK Consumer Law Regulator Exercises New Consumer Enforcement Powers for the First Time

The UK Competition and Markets Authority (CMA) has taken two steps under the Digital Markets, Competition and Consumers Act 2024 (DMCC Act), marking an escalation in UK consumer en...

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a-teaminsight.com /2 weeks ago

Don’t Misread a Shift in Regulatory Tone – Global Relay

US regulators may be stepping back from the penalty-led off-channel communications sweeps that defined recent enforcement cycles, but that does not mean firms can ease up on survei...

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regulationtomorrow.com /2 weeks ago

FCA publishes results of CRA multi-firm review

On 15 May 2026, the Financial Conduct Authority (FCA) published the results of its multi-firm review of UK-registered credit rating agencies (CRAs) which focused on surveillance pr...

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natlawreview.com /1 week ago

CFTC Division of Enforcement Issues New Cooperation Policy: What Commodities Market Participants Need to Know

On May 19, 2026, the Commodity Futures Trading Commission’s (CFTC or the Commission) Division of Enforcement (the Division) issued CFTC Letter No. 26-15, a new Staff Advisory setti...

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natlawreview.com /1 month ago

Non‑Financial Misconduct Under the UK FCA’s New Regime

The UK Financial Conduct Authority (FCA)’s new rules and guidance on non-financial misconduct (NFM) will take effect on 1 September 2026. This is an important development for firms...

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alternativecreditinvestor.com /2 weeks ago

FCA warns conduct risk ‘as important’ as financial stability risk in private credit

The UK’s regulator, the Financial Conduct Authority (FCA), has warned that as part of its work with the Bank of England on its new system-wide exploratory scenario (SWES) focused o...

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regulationtomorrow.com /1 week ago

Commission Delegated Regulation supplementing MiFID II with regard to RTS for the establishment of an EU code of conduct...

On 21 May 2026, the European Commission (Commission) adopted a Commission Delegated Regulation supplementing the Markets in Financial Instruments Directive II with regard to regula...

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jdsupra.com /2 weeks ago

Hidden fees, real consequences: CMA issues its first infringement decision under the UK’s new consumer protection regime

The UK's Competition and Markets Authority (CMA) has issued its first ever financial penalty under its new direct consumer enforcement powers. The decision signals the start of a n...

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omanobserver.om /2 weeks ago

Workshop highlights merger compliance rules

MUSCAT: The Competition Protection and Monopoly Prevention Centre at Ministry of Commerce, Industry and Investment Promotion organised a specialised workshop in Muscat on mechanism...

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regulationtomorrow.com /3 weeks ago

FCA launches review of claims management practices

On 6 May 2026, the Financial Conduct Authority (FCA) issued a statement launching a review of the claims management market, following concerns that consumers are being failed by so...

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regulationtomorrow.com /1 month ago

ASIC continues finfluencer crackdown alongside global regulators

On 24 April 2026, the Australian Securities and Investments Commission (ASIC) announced that it was working with 16 global regulators as part of its crackdown on unlawful social me...

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natlawreview.com /1 month ago

SEC Fraud and Violations: Whistleblower Enforcement and Legal Protections

I. Introduction: The Expanding Reach of SEC Whistleblower Law Since the Dodd–Frank Act of 2010, the SEC has fundamentally reshaped how securities fraud and corporate misconduct are...

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malaymail.com /3 weeks ago

MCMC enhances service quality standards to strengthen consumer protection

PUTRAJAYA, May 7 — The Malaysian Communications and Multimedia Commission (MCMC) is strengthening consumer protection th...

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thehindubusinessline.com /1 month ago

SEBI operationalises PaRRVA to verify performance claims of market intermediaries

After a pilot phase, full-scale operations will begin on May 4, 2026

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jdsupra.com /3 days ago

The European Securities and Markets Authority (ESMA) Reports on Investment Managers’ Compliance and Audit Functions

In 2025, the European Securities and Markets Authority (ESMA) performed a Common Supervisory Action (CSA) exercise on the establishment of effective compliance and internal audit f...

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regulationtomorrow.com /1 week ago

FCA publishes Claims Management Services: market study terms of reference

On 19 May 2026, the Financial Conduct Authority (FCA) published terms of reference for a market study into claims management services. Summary The FCA set out that they are launchi...

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