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The Latest

Blog posts and videos from industry experts, keeping you up to date on the latest news in regulatory compliance and financial markets

Technology Innovations in Regtech: AI, Blockchain, and Automation

February 7, 2025

Unpacking FINRA’s Annual Regulatory Oversight Report: Findings, failings and best practices from 2024

February 3, 2025

Brokers: Unlocking commercial opportunities with trade surveillance

January 22, 2025

Q4 2024 enforcements: A closer look at where regulators took action

January 20, 2025

Digital Operational Resilience Act (DORA) - What is it and why is it important?

January 15, 2025

Best execution compliance in a global context

January 13, 2025

As US regulators clamp down, how are other regulators managing eComms surveillance?

January 6, 2025

Market Integrity in Focus: FCA’s Call to Action for CFD Providers

January 6, 2025

Compliant Communication: ESMA’s Guidance for Safe Pre-Close Calls

December 16, 2024

Navigating the complexities of best execution legislation

December 12, 2024