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Financial Services Regulation

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

originally founded 01 Jul 2010

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Harriet Christie Chief Operating Officer at Mirrorweb

The Ultimate Guide to Website Compliance in 2025: SEC, FCA, and More

Understanding the Risks of Non-Compliance Failing to meet website compliance standards isn’t just an oversight—it’s a direct threat to your business. Here’s what’s at stake: Hefty Fines: Regulatory bodies are ramping up enforcement. The figures for the second half of 2024 are not yet available, but from July 2023 to June 2024, ASIC imposed $92 m...

13 February 2025 /regulation /wealth

Taljeet Rai Senior Regulatory Developer at StoneX Group Inc

A Regulatory Collaborative Ecosystem

Compliance, business groups such as analysts and technology teams, as well as regulators often work in silos, leading to inefficiencies, delays and increased costs. A more collaborative approach could streamline processes and reduce risk, but adoption is always going to be a challenge. I have been exploring how these stakeholders interact, and it ...

06 February 2025 /regulation /crime

Retired Member

DORA Regulation: Mandatory ICT Risk Reporting for European Financial Institutions

On November 29, 2024, the European Commission introduced the Commission Implementing Regulation (EU) 2024/2956, laying down detailed technical standards for the application of Regulation (EU) 2022/2554, known as the Digital Operational Resilience Act (DORA). This update, which will officially come into force 20 days after its publication in the Off...

05 December 2024 /regulation /retail

Marko Maras CEO at Trustfull

How to harmonize conflicting AML and PSD3 mandates in Europe

Europe’s financial sector is at a turning point. On one side, strict Anti-Money Laundering (AML) regulations demand steadfast vigilance and compliance. On the other, the Payment Services Directive 3 (PSD3) is pushing for instant payments to meet the demands of an increasingly impatient digital economy. For both traditional financial institutions a...

04 December 2024 /payments /regulation

Retired Member

Capital Requirements Regulation (CRR): Retail Portfolio Diversification

The latest updates to the Capital Requirements Regulation (CRR), published on November 12, 2024, introduce significant changes to retail exposure diversification. These changes, developed by the European Banking Authority (EBA) under the mandate of Article 123(1) of the CRR, aim to enhance financial stability across the European Union. The updates ...

15 November 2024 /regulation /wholesale

Kyrylo Reitor Chief Marketing Officer at International Fintech Business

Top 5 jurisdictions to obtain EMI license in 2025

The European Payment Services Directive (PSD2) has ignited a fintech revolution across Europe, spurring the growth of Electronic Money Institutions (EMIs). As fintech companies seek to capitalize on this opportunity, understanding the most conducive jurisdictions for obtaining an EMI license is paramount. In 2025, these five European countries sta...

30 October 2024 /payments /regulation

Ben Parker CEO at eflow uk ltd

Understanding the processes behind an effective eComms surveillance strategy

It goes without saying that regulatory compliance is of critical importance for businesses operating in financial markets. A firm’s failure to meet their regulatory obligations can have significant consequences for their business, including enforcement action, financial penalties and catastrophic reputational damage. A real-world example that h...

10 October 2024 /regulation

Kyrylo Reitor Chief Marketing Officer at International Fintech Business

Checking the reliability of correspondent bank accounts - 5 steps

Correspondent banking relationships are vital for facilitating international transactions. However, the reliability of these correspondent bank accounts is crucial for mitigating risks, including fraud and financial instability. Here are five essential steps to ensure the reliability of correspondent bank accounts. Step 1: Verify Regulatory Compli...

02 October 2024 /security /regulation

Jeffrey Wheatman SVP, Cyber Risk Strategist at Black Kite

Addressing the Complexities of Compliance in Financial Services

As the financial services industry undergoes constant change, managing the complexities of compliance presents a challenge. Compliance teams are overwhelmed with many regulations, each with unique controls and requirements. These often encompass over 100 compliance sets and thousands of controls, making it difficult to balance regulatory demands w...

10 September 2024 /ai /regulation

Joris Lochy Product Manager at Intix | Co-founder at Capilever

Belgium’s Capital Gains Tax Proposal: The Complexities Beneath the Surface for the Financial Service

Belgium is currently in the midst of forming a new government, a process known for its length and complexity. As we face yet another challenging government formation, a significant debate has emerged around the introduction of a capital gains tax on profits from the sale of equities that are currently untaxed in Belgium. The proposal suggests a t

02 September 2024 /regulation /retail