Social Media Ideas for Market Surveillance & Conduct

FCA publishes Enforcement Watch 2 – Supervising and enforcing the Consumer Duty

On 7 July 2026, the Financial Conduct Authority (FCA) published the second edition of its enforcement newsletter – Enforcement Watch 2 – in which it covers its recent approach to s...

Off-Channel Compliance Demands Evidence, Not Just Policy

Off-channel communications compliance is moving beyond which tools firms permit. The deeper challenge is whether firms can evidence control over who is in scope, which channels are...

AI and Consumer Markets: UK Competition and Consumer Law Implications for Businesses

'Gloves are off' as FCA investigates 11 potential breaches of Consumer Duty

The Financial Conduct Authority is currently investigating 11 instances of potential breaches of its flagship Consumer Duty regulation as well as reviewing it.

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...

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...

CII calls for greater transparency on misconduct as regulation alone falls short

A new report from the professional body calls for greater public reporting on misconduct outcomes as FCA's September 2026 COCON deadline draws closer

FCA Identifies Key Compliance Issues in Its Sanctions Systems and Controls Report (May 2026)

Securities Regulation and Compliance

The importance of securities regulation is reflected in the scale of U.S. financial markets. In 2025, the U.S. equity market showed record-breaking resilience, with the S&P 500...

UK Consumer Duty- FCA Consults on Scope and Proportionality

SEBI to sharpen tech-led surveillance as online investment frauds evolve

Regulator has facilitated takedown of over 1.4 lakh misleading posts in 18 months; more investor-protection tools in the works

FCA letter to Financial Services Regulation Committee on lessons learned from its consultation on publicising more enfor...

On 11 June 2026, a letter was published from Nikhil Rathi, Chief Executive of the Financial Conduct Authority (FCA), to Baroness Noakes DBE of the House of Lords Financial Services...

FCA speech – Beyond the headlines: the unseen fight against financial crime

On 17 June 2026, the Financial Conduct Authority (FCA) published a speech delivered by Therese Chambers, joint executive director of enforcement and market oversight, regarding fin...

Call to all AFS licensees – Participate in ASIC’s Professional Registers Search

On 17 June 2026, the Australian Securities and Investments Commission (ASIC) announced that it is collecting and publishing website addresses of Australian Financial Services (AFS)...

House of Lords Financial Services Regulation Committee publishes FCA and PRA correspondence in relation to the FCA and P...

On 9 July 2026, the House of Lords Financial Services Regulation Committee (the Committee) published correspondence from the Financial Conduct Authority (FCA) and Prudential Regula...

AI and Financial Services Regulation: UK and International Developments at a Glance

The regulatory response to AI in financial services has been accelerating in recent months, with regulators and international standard-setters grappling with what AI—from tradition...

ASIC calls platform trustees to account over persistent failures to safeguard super savings

On 29 June 2026, the Australian Securities and Investments Commission (ASIC) issued Report 833 – Safeguarding super: How well are platform trustees monitoring risks to retirement s...

Same players, new rules: Here’s how Consumer Credit Commission regulations safeguard BNPL users

KUALA LUMPUR, June 12 — As buy now, pay later (BNPL) and other non-bank credit services become increasingly e...

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...

FCA publishes findings from a review of sanctions systems and controls in firms

On 28 May 2026, the Financial Conduct Authority (FCA) published its findings in relation to financial firms’ controls, highlighting good and poor practices and areas for improvemen...

US Congress Opens Formal Probe into Kalshi and Polymarket, Targeting KYC and Trade Surveillance

On Friday, the House Oversight Committee sent formal information requests to Kalshi and Polymarket, demanding internal records on identity verification and trade surveillance, esca...

SEC’s New Retail Fraud Group Signals a Sharper Focus on Main Street Investor Cases

The SEC has announced a new Retail Fraud Group within the Division of Enforcement, a structural change that offers an unusually clear signal about where the agency expects to devot...

FTC, Like States, Worried About Data Broker Activities

Many state legislatures have been focusing on data broker activities; at the same time the FTC has been pursuing brokers for alleged Section V violations. Most recently, the FTC fi...

IOSCO Final Report: Supervisory Toolkit for AI Use in Capital Markets

On 25 May 2026, the International Organisation of Securities Commissions (IOSCO) issued a final report, Supervisory Toolkit for AI use in Capital Markets. The final report is inten...