Compliance

How rapid growth in the Association of Southeast Asian Nations’ digital lending is generating regulatory gaps, consumer risks, and the potential for disputes over automated credit decisions

AI is reshaping financial services, but regulators still expect human oversight, accountability and robust governance

As ESG rises on the global regulatory agenda, compliance teams in banks are upping their game to tackle the various strands of ESG risk

Although views differ on the details of how the equities tape should be developed, low consumer costs and a robust revenue distribution model are widely seen as crucial

With a federal legacy law due shortly, US market participants struggle to explain why some states have decided to go at it alone

As the FCA’s revised approach to Mifid II unbundling comes into effect, firms focus on timing issues, EU-UK divergence and the definition of exemption rules for FICC instruments

Market participants mull the impact of the end of the transitional relief for onshoring post-Brexit changes in UK regulation

The association cautions against further restrictions on SIs, the reimposition of a concentration rule, the calibration of the fixed income transparency regime, and the lack of pre-trade data in the consolidated tape