Financial Services Regulation

Three steps to ensure accurate compliance evaluation

15 Mar 2024

Remaining compliant in today’s financial landscape is no easy feat. Every call, message, communication and snippet of information shared between employees, customers and trading partners must be captured, stored and monitored to prove compliance. To regulators, every financial institution is potentially guilty of wrongdoing, until proven innocent....

Financial Services Regulation

Top four compliance trends to watch in 2024

21 Dec 2023

As financial institutions gear up for the next 12 months, it’s time to reflect on the key trends and developments, considering how they’ll shape the year ahead. While the financial landscape is constantly evolving, we believe there are four important issues that will shape 2024: 1. AI-powered compliance AI and automation are the buzzwords of the y...

Financial Services Regulation

Six steps to ensure compliance in a work-anywhere world

17 Nov 2023

The battle about operating at home, in the office or other locations continues to rage in financial services. Yet in many ways, the debate is irrelevant. The genie is out of the bottle. Ignoring it – even if very few people work from home in an organisation – simply increases risk. This stems from regulators’ calls for a level playing field acros...

Banking Regulations

Everyone’s unfairly guilty, until proven innocent in the eyes of financial regulators

19 Apr 2023

The recent raids by French prosecutors that targeted the Paris offices of five major banks including HSBC and BNP Paribas on suspicion of fiscal fraud is a serious matter, and it’s one that should not be taken lightly. If the authorities have evidence that a bank or its employees have committed a crime, then they should absolutely investigate and h...

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