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Regulatory updates, enforcement activity, licensing signals, and compliance research for global financial markets.

Regulatory UpdatesNew rules, consultations, publications, and regulator announcements.Fines & Warnings TrackerEnforcement actions, warnings, penalties, and regulator notices.License & Registration MonitoringLicense status, registrations, renewals, and company coverage.Upcoming RegulationsForward-looking regulatory changes and implementation timelines.Compliance InsightsLatest public compliance analysis and editorial coverage.

Latest Compliance Insights

Compliance Insights88.6% of EU Crypto Firms Enter an August Sanctions ReviewFM Intelligence identifies 256 trading-related CASPs among 289 authorized EU27 entities, with more than half of the market based in five home states. A conditional workload model produces 1,56...Compliance Insights29% Lack Transaction Monitoring as Private Markets Carry Higher AML ExposureThe FCA’s review of 242 asset managers found a 3.6-times gap in reported PEP exposure, while monitoring, outsourcing and governance controls varied across the wider sample.Compliance InsightsBelgium's Fraud Curve Turns: 2026 Reports Track Toward First Decline Since 2022Reported cases fell to 1,277 in the first half, and FM Intelligence models a full-year total near 2,740, which would be the first annual drop since 2022, even as fraudulent trading platforms and cr...
Compliance Insights
SFC Mandates Phishing-Resistant Authentication Methods: Analysis of the Global Impact for the Retail Trading Industry
Hong Kong's Securities and Futures Commission (SFC) has ordered licensed brokers and crypto platforms to replace SMS- and email-based OTPs with phishing-resistant authentication methods such as Pas...
Compliance InsightsA $382.4M Precedent for a Market With No Best-Ex LawFXPA's June 2026 guidance recasts FX spread grids as indicative, non-binding references. FM Intelligence reads the redefinition as a best-execution and conduct-risk question, with liquidity provide...
Compliance InsightsMAS Enforces Real-Time Guardrails for Agentic AI: Lessons for the Trading IndustryMAS's new SAFR framework signals a shift toward real-time governance of autonomous AI agents in finance, providing an early blueprint for regulating AI-driven trading and other financial services.