Regulation & Licensing

The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the…

The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…

ESMA specifies requirements to facilitate safe use of post-trade risk reduction services 20 October 2026 Guidelines and Technical standards Post Trading The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has outlined the…

The Swiss Financial Market Supervisory Authority FINMA has approved the first retail fund to invest directly in Bitcoin, prioritising investor protection and transparency.

The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality…

Madrid, 19 de octubre de 2026.- La adopción de la inteligencia artificial en la Administración de Justicia y el Sector Público ha alcanzado un punto de inflexión donde la ciudadanía y los operadores jurídicos exigen el fin de las ‘cajas negras’ algorítmicas, un escenario marcado…

Jessica Rusu, FCA chief data, information and intelligence officerat Bloomberg's UK Policy Series. The Mills ReviewThat is why we commissioned the Mills Review, published in July, focused on how AI could reshape retail financial services by 2030.Some developments we anticipated…

EBA E-mail alert 16 October, 2026 Date 16/10/2026 Anonymous (not verified) Fri, 10/16/2026 - 17:00 Final Q&As 2026_7854 Incoherent formulae on the validation rule v0478_m 2026_7867 Validity of validation rule v903610

Federal Reserve Board announces termination of enforcement actions with Gardner Bancshares, Inc. and Small Business Bank

Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und…

New Q&As available 16 October 2026 CCP Digital Finance and Innovation The European Securities and Markets Authority (ESMA), the EU's securities markets regulator, has published the following question and answer: European crowdfunding service providers for business Crowdfunding…

The FCA has reviewed its regulatory action against individuals whose convictions have recently been overturned by the Court of Appeal.As these convictions formed the basis on which the FCA took its action, we have revoked the bans of Colin Bermingham, Philippe Moryoussef,…

ESMA finalises the review of guidelines on the delay in disclosure of inside information 16 October 2026 Guidelines and Technical standards Market Abuse Market Integrity Simplification and Burden Reduction The European Securities and Markets Authority (ESMA), the EU’s financial…

One year to go for T+1 settlement: the regulatory framework is complete, now let’s make it happen 16 October 2026 Guidelines and Technical standards Post Trading Press Releases The European Union (EU) will switch to T+1 settlement on 11 October 2027. Ahead of the transition, the…

The Basel Committee on Banking Supervision today published final amendments to address window dressing in the G-SIB framework and a consultation on the G-SIB methodology review.

On 15 October 2026, ePayments Systems Limited (EPS) entered special administration. Mark Boast and Allister Manson of Opus Restructuring LLP (Opus) have been appointed as joint special administrators. EPS is authorised by the FCA to issue e-money under the Electronic Money…

On 14 October 2026, Jarvis Investment Management Limited (Jarvis Investment) entered special administration. Adam Stephens and Philip Hemming of S&W Partners LLP were appointed as special administrators. Jarvis Investment (FRN 116413) is FCA authorised and regulated to provide…

ESMA updates its manual on transparency with new guidance for OTC derivatives and tick-size regime 15 October 2026 Trading The European Securities and Markets Authority (ESMA), the EU regulator and supervisor, has updated its manual on transparency to provide further guidance on…

ESMA's third Sanctions Report highlights the need for greater convergence in enforcement 15 October 2026 Market Abuse Supervisory convergence Transparency The European Securities and Markets Authority (ESMA), the EU's financial markets regulator and supervisor, published today…

EBA E-mail alert 14 October, 2026 Date 14/10/2026 Anonymous (not verified) Wed, 10/14/2026 - 17:00 News & Press ​The EBA classifies USDC as the first significant e-money token in the European Union

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy…

ESMA analysis shows continued growth in cross-border investment services 14 October 2026 Investor protection The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has completed its annual analysis of the cross-border provision…

The Swiss Financial Market Supervisory Authority FINMA has completed its annual assessment of the emergency and recovery plans for the domestic systemically important banks. The emergency plans for Zürcher Kantonalbank and Raiffeisen fulfil the regulatory requirements. The…