Financial services
As a uniquely regulated industry, financial services firms face increasingly complex challenges. This is your spot for thought leadership, hot takes and guidance on the changes you need to know about.
MORE FINANCIAL SERVICES ARTICLES
Regulatory Penalties Dropped in ’25, Led by Sharp US Decline
Political instability driving global divergence in employment rules
When ‘Fix It and Come Back’ Becomes Your Compliance Strategy, You’ve Already Failed
Repeated mistakes aren’t necessarily evidence of staff incompetence; they could be signs of unclear expectations
DOJ, FinCEN Reach Resolutions With Virtual Asset Trading Platform Over AML Violations
Government documents say Paxful operated for years without a compliance officer, AML training or transaction monitoring controls
What I Learned Migrating 100M Customer Credentials to the Cloud
Fraud detection, risk assessment and behavioral analytics must remain accurate and uninterrupted throughout migration
SEC 2026 Examination Priorities: What FinServ Firms Need to Know
Examiners will assess whether policies and procedures are implemented and enforced, not just whether they exist on paper
Execs Optimistic Despite Economic Uncertainty
European AML systems show persistent ineffectiveness despite rising budgets; 3 in 5 legal professionals concerned about privilege protections under proposed...
Banks Shouldn’t View the Treasury Clearing Rule Simply as a Compliance Exercise
Extended deadlines give banks time to create access packages for indirect participants without requiring them to build infrastructure
What Non-US Firms Need to Know Before Conducting Securities Activities in the United States
Solicitation is viewed broadly to include calls, emails, research distribution, conference sponsorships and investor meetings in the US
Retrofitting AI Into Model Risk Management Is Key to Reg AI Adoption
Alert narratives with citations for every point may offer even more transparency than human adjudicators can provide
UK AML Reform in 2025: A Public Recalibration of Risk and Responsibility
Trio of major developments — the national risk assessment, Treasury's consultation response and draft regulatory amendments — mark a strategic...
Compliance Doesn’t Block Innovation. Your Mindset Does.
Moving fast and breaking things works in software; it poses catastrophe in financial services
Why Most Banks Are Not Ready for Agentic AI in FinCrime Prevention (and How to Get There)
Readiness assessments and strategic guardrails separate transformative adoption from costly failures