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Key Takeaways from FINRA’s 2025 Oversight Report
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…
Challenges of the New Regulatory Landscape: Data Management Summit London Preview
The regulatory landscape for financial institutions has rarely been in greater flux than now, placing new challenges on the technology and data that will be critical to satisfying the requirements of overseers. While digital innovations are offering organisations the opportunity to meet their compliance obligations with greater accuracy and efficiency, they are also encouraging regulators…
EC Simplifies Rules on Sustainability and EU Investments, Promising €6+ billion in Administrative Relief
In late February, the European Commission took decisive steps to streamline regulatory requirements, aiming to reduce administrative complexity and unlock new investment opportunities. The proposals focus on cutting red tape while maintaining sustainability commitments, creating a more business-friendly environment that supports growth, innovation, and job creation. By aligning competitiveness with climate objectives, the Commission seeks…
Fenergo and PwC Partner to Enhance Financial Crime Compliance and Efficiency
A new collaboration between Fenergo and PwC aims to help financial institutions streamline financial crime compliance, improve operational efficiency, and navigate evolving regulatory demands. By combining PwC’s expertise in financial crime and regulatory compliance with Fenergo’s AI-driven client lifecycle management (CLM) and Know Your Customer (KYC) technology, the partnership is set to accelerate digital transformation…
New Cyber and Emerging Technologies Unit at SEC
The Securities and Exchange Commission (SEC) has established the Cyber and Emerging Technologies Unit (CETU) to address cyber-related misconduct and safeguard retail investors in the evolving tech landscape. This new unit, led by Laura D’Allaird, succeeds the former Crypto Assets and Cyber Unit and comprises around 30 fraud specialists and attorneys from various SEC offices. …
Unleashing the Power of AI for Financial Institutions with Snowflake and Amazon Web Services
Financial institutions are among the largest users of AI, deploying it for a range of use cases that, while already wide, will broaden in the future. A report by the International Monetary Fund has forecast that institutional spending on AI will surge 29% to US$97 billion by 2027. The technology has become crucial to automation…
Generali-Natixis Tie-up Highlights Data and Operational Complexities of Asset Management M&A
By Jeremy Katzeff, head of buy-side solutions at GoldenSource. After much speculation, it’s now confirmed. The asset management industry welcomes another mega fund to its ranks after the tie-up between the asset management businesses of Natixis and Generali Group. The reasons behind the merger are the same as they have been for the last few…
FINRA Requests Deadline Extension on SEC Approved 6500 Securities Lending Rules
In January, the Securities and Exchange Commission (SEC) approved the FINRA rule 6500 series requiring securities lending reporting. SEC rule 10c-1a, which mandates greater transparency in the securities lending market was adopted in October 2023 and requires market participants to report securities lending transactions to FINRA, and for FINRA to establish a system to facilitate…
CTA Reporting Suspended but BSA Obligations and BOI Risks Remain
Following a series of legal challenges and court rulings, the future of the Corporate Transparency Act (CTA) and the Beneficial Ownership Information (BOI) repository at the Financial Crimes Enforcement Network (FinCEN) remain unclear. Congress passed the CTA in 2021, and the law went into effect on January 1, 2024. The filing deadline for companies that…
“No WhatsApp Ban” – FCA’s Transition from Prescriptive Rulemaking to Outcome-Focused Regulation
There was a flurry of headlines recently following statements from Financial Conduct Authority (FCA) Chief Executive Nikhil Rathi on a podcast, where he laid out the FCA’s new five-year strategy and its mandate for growth. In response to a direct question about regulating encrypted messaging apps and WhatsApp specifically, Mr. Rathi stated that they’re not…