The Financial Markets Authority (FMA) New Zealand has confirmed that it will engage with regulated firms and market participants exclusively via remote technology for the foreseeable future. “Our offices remain open and we encourage people to contact us with concerns or questions, as well as any suggestions on how we can assist you,” said the regulator in a statement.
Fitness and proprietary requirements for employees of financial institutions are not an option, but a regulatory obligation that calls on employers to regularly assess employees’ honesty, integrity and reputation, competence and capability, and financial soundness. In the UK, these requirements are a core element of the Senior Managers and Certification Regime (SMCR). They are also...
FINRA released its 2025 Regulatory Oversight Report (the Report) in January, highlighting several rapidly evolving challenges confronting its member firms. From the rise of “deepfake” AI that empowers criminals to carry out convincing cyberattacks, to newly highlighted dangers of synthetic identity fraud, the Report details how malicious actors continue to adapt their methods. Along with...
The inaugural TradingTech Summit MENA takes place in November and examines the latest changes and innovations in trading technology and explores how technology is being deployed to create an edge in sell side and buy side capital markets financial institutions in the region.
This special report accompanies a webinar we held a webinar on the popular topic of Pricing and Valuations, discussing issues such as transparency of pricing and how to ensure data quality. You can register here to get immediate access to the Special Report.