GRC News | Financial Industry Insights

RegTech Adoption: Staying Ahead of the Regulators

May 13, 2025

Using regulatory technology (RegTech) to enhance a firm’s compliance program is quickly becoming a necessary requirement. With regulators’ increased use...

Article

ADGM, Compliance, DFSA, FCA, FSRA, RegTech, SEC

Combatting Market Abuse: The FCA’s New Agenda Calls for Action

May 9, 2025

The UK Financial Conduct Authority (FCA) has set out its five-year strategy to combat financial crime, support economic growth, help consumers...

Compliance Alert

Compliance, FCA, Market Abuse

Bridging Compliance Efforts Across Jurisdictions

May 9, 2025

Regulatory compliance remains a moving target for firms operating across multiple jurisdictions. Enforcement priorities continue to change requiring firms to...

Article

CFTC, Compliance, ESMA, FCA, FINRA, NFA, SEC

Q2 2025 ESG Compliance Horizon Newsletter

May 7, 2025

As part of our commitment to keeping you informed about the ever-evolving ESG regulatory landscape, we are excited to offer...

Newsletter

ESG, ESMA, FCA

Compliance Considerations for Firms Reporting to the SEC or FCA

May 2, 2025

Learn key tips for preparing disclosures, reviewing marketing activity, and strengthening training to build an effective, SEC or FCA compliant program.

Article

Compliance, FCA, SEC

Global Focus on Financial Crime: Emerging Regulatory Trends in the UAE

April 30, 2025

The United Arab Emirates (UAE) has made significant strides to strengthen its anti-money laundering (AML) and countering the financing of...

Article

AML and Financial Crime

The FCA’s Five-Year Plan

April 23, 2025

On Tuesday 25 March 2025, the UK Financial Conduct Authority (FCA) released strategy for the next five years (2025-2030). Their plan...

Compliance Alert

Compliance, FCA

ADGM Enforcement Underscores Compliance Risks for Virtual Asset Firms

April 22, 2025

A recent enforcement action issued by the Abu Dhabi Global Market (ADGM) has drawn attention to the risks of operating...

Article

ADGM, Compliance, UAE

2025 Investment Management Compliance Testing Survey

April 21, 2025

ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to participate in the 2025 Investment Management Compliance...

Survey

Compliance

UK AIFMD Reform: Simpler and Clearer?

April 15, 2025

His Majesty’s Treasury (HMT) launched a consultation on reforms to the Alternative Investment Fund Managers (AIFM) regulations on 7 April...

Compliance Alert

Compliance, FCA