Regulation & Licensing

The Bank for International Settlements’ Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO) today published a final report on financial market infrastructures’ (FMIs) management of general business risks…

Minutes of the Board's discount rate meetings on August 17, September 9, and September 16, 2026

The FCA has conducted a major operation to disrupt a suspected organised criminal group for engaging in insider dealing and money laundering. On 13 October, 3 individuals were arrested following a joint operation by the FCA and the National Crime Agency (NCA). More than 100 FCA…

EBA E-mail alert 13 October, 2026 Date 13/10/2026 Anonymous (not verified) Tue, 10/13/2026 - 17:00 News & Press European Supervisory Authorities set priorities for 2027

European Supervisory Authorities set priorities for 2027 13 October 2026 Joint Committee The Joint Committee of the European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) published today its Annual Work Programme for 2027 , setting out its priorities for addressing…

Two people who worked at financial advice firms have pleaded guilty to fraud after 4 clients lost £2m. Kerry Nelson, the director of Nexus Independent Financial Advisers Limited and Nexus Investment Managers Limited, and Jacqueline Stephens, the firms' business operations…

The Upper Tribunal has confirmed it will hear the legal challenges to our motor finance compensation scheme between 16 to 26 February 2027. The scheme was challenged by 3 lenders - Volkswagen Financial Services, Mercedes Benz Financial Services, and Crédit Agricole Auto Finance…

ESMA sets out 2026 European Common Enforcement Priorities 13 October 2026 Financial reporting Issuer disclosure The European Securities and Markets Authority (ESMA), the European financial markets regulator and supervisor, has outlined the European Common Enforcement Priorities…

The Basel Committee has published assessment reports on the implementation of its leverage ratio framework (LEV) in Australia, Canada, Japan, Korea, Switzerland and the United Kingdom. Australia, Japan, Korea and Switzerland are assessed as compliant; Canada and the United…

EBA E-mail alert 12 October, 2026 Date 12/10/2026 Anonymous (not verified) Mon, 10/12/2026 - 17:00 News & Press The EBA publishes Final Report on draft amendments to technical standards on prudential requirements for central securities depositories ​The EBA releases the final…

EBA E-mail alert 9 October, 2026 Date 09/10/2026 Anonymous (not verified) Fri, 10/09/2026 - 17:45 News & Press EBA CRR3/CRD6 dashboard shows banks maintain capital levels well above minimum requirements under the fully loaded Basel III framework Procurement Ex-ante publicity for…

The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments…

Federal Reserve Board releases results of the 2025 Survey of Consumer Finances, which provides the public and policymakers with detailed insights into the economic condition of American families

The FCA Board has appointed Liam Coleman as chair of the Financial Ombudsman Service, with the approval of the Treasury. Liam will take up the permanent role on 10 October 2026 for a 3-year term, having served as interim chair for the last year.Ashley Alder, chair of the FCA,…

Federal Reserve Board announces enforcement action against American Express Company to address, among other things, the firm’s failure to sufficiently detect and report certain suspicious activity related to money laundering

Corporate finance firms help businesses raise funding and implement strategic transactions, supporting investment and growth.This brings responsibility: clients need to be able to trust that firms will act with integrity and manage any conflicts of interest. That trust underpins…

The FCA has set out clearer expectations for asset managers about long-term investments, such as property. This will help give the market more confidence to invest in funds that support private markets.The new rules mean that investors will have to give 90 days' notice to access…

Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs der Verordnung vom 7. August 1990 über Wirtschaftsmassnahmen gegenüber der Republik Irak (SR 946.206) publiziert.

The Swiss Financial Market Supervisory Authority FINMA has partially revised its practice in Circular 2016/7 “Video and online identification”. It has taken into account the latest technological developments, particularly with regard to the Federal Act on Electronic Identity…

Minutes of the Federal Open Market Committee, September 15-16, 2026

The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…

The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…