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
Most Audit Leaders Are Using AI; Few Have a Strategy for It
Plus: 1 in 10 UK wealth managers don’t ask for a key piece of information; ransomware payments fall while attacks...
Who Is Authorized to Shut Off the Bank’s AI?
A kill switch is only as good as the planning surrounding it
When AI Writes the Number, Who Has a Reasonable Basis to Certify It?
Treating AI governance as an IT deliverable leaves an officer standing at the end of a chain that doesn't reach...
The UK’s FCA Is Weighing Real-World Impact, Not Just Careful Wording
With disclaimers carrying less weight and financial promotion risk moving to the fore, perimeter compliance is becoming a matter of...
A Helpful Guide to Corporate Governance at US Broker-Dealers
Fiduciary responsibilities, regulations and oversight
Root Causes of Mis-Selling: 5 Control Failures & How to Remediate Them
When mis-selling occurs, firms must address control failures and potential client harm
The Day My Job Description Changed: Compliance & Personal Liability
A UAE compliance officer explains what Federal Decree Law No. 10 of 2025 means in practice and why the profession...
The Convergence of TradFi, DeFi & AI
‘Trustless’ does not mean unaccountable
FinCEN’s Proposed New AML Rules: What You Need to Know
The rule-making process is a culmination of years of moves toward standardizing financial institutions’ AML/CFT processes
Fewer Than Half of Execs Say Their Board Excels
Companies feel unprepared for fincrime; frontline workers aren’t thinking about compliance under pressure
What Are Global Financial Regulators Prioritizing in 2026?
Singapore, Canada, Australia, the UK and the US moving on distinct but overlapping regulatory priorities; deadlines start piling up in...
FINRA Is Still Following Off-Channel Enforcement Even If the SEC Isn’t Leading
For broker-dealers planning their compliance priorities in 2026, FINRA actions deserves serious attention before the next cycle examination