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Securities dealers must follow recordkeeping rules says Danish FSA
Thematic review points to persistent recordkeeping issues at firms stemming from inadequate controls and use of error-prone manual systems.
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FINRA disciplinary action update 2025/22
Disciplinary decisions issued June 7 – 13, 2025.
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UK investing in “strategic” AI capabilities
OpenBind consortium, new Centre for AI-driven innovation, and supercomputer funding all intended to help drive drug R&D
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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Vodafone fined for GDPR infractions in Germany
Failure to adequately monitor the work of third-party agencies and security deficiencies of online portal lead to a €45m ($51m) fine.
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Google commits $500m to compliance overhaul
Lawyers claim investment signals major shift in how search giant will manage regulatory risk.
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FCA research finds financial services consumers keen on AI support
Pilots demonstrate potential of LLMs, but signal need for human intervention and the importance of good design and testing.
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Liquidity risk advice for collective investment schemes revised
IOSCO final report includes revised recommendations for funds and an updated guidance document to help with their implementation.