compliance
Compliance-Centric AI Surveill Secures $1 Million in Funding
- The funding round was led by Simya VC, a subsidiary of 212 VC.
- “While we initially decided to bootstrap Surveill… we needed more resources to execute against our vision,” said the company’s founder.
Thursday, 16/10/2025 | 04:46 GMT by
Arnab Shome
“ESG Risk Is as Serious as Credit Risk,” Infocredit CEO Spotlights AI-Driven Compliance
- The company’s platform supports KYC, KYB, AML, and fraud detection across multiple sectors and regions.
- “AI is part of our lives, but the human element remains vital,” Theodoros Kringou noted.
Thursday, 31/07/2025 | 15:04 GMT by
Tareq Sikder
CFD Brokers Face Compliance Crunch as 2026 Deadline Looms—What You Should Do
- Retail trading companies from different parts of the world should embrace the important regulatory changes.
- July 2025 Compliance Report provides the comprehensive analysis you need to transform regulatory challenges into competitive advantages.
Monday, 07/07/2025 | 06:58 GMT by
Damian Chmiel
Virtu Partners With Limina on Post-Trade Platform to Address T+1 Settlement Compliance Challenges
- Swedish fund manager Cliens becomes the first client to use integrated solution.
- We "allow firms to refocus on what truly matters: managing investments and driving performance," said Virtu’s Prem Balasubramanian.
Tuesday, 10/06/2025 | 06:34 GMT by
Damian Chmiel
The Risk of Relaxed Regulations in Finance: How WhatsApp Chats Triggered Billion-Dollar Fines
- A $200 million fine in 2021 exposed off-channel communication breaches. Within two years, fines reached $1.8 billion across 16 firms.
- The SEC focused on enforcement, not tools. Retroactive penalties show delayed oversight still brings consequences.
Monday, 09/06/2025 | 09:32 GMT by
David Clee
12 ESMA Market Abuse Rules That Your Business Must Follow—August 27 Deadline
- The new guidelines demand specialized surveillance for blockchain-specific risks, social media monitoring.
- Are you and your business ready? We explain what the changes are about and how to prepare for them.
Thursday, 05/06/2025 | 08:53 GMT by
Damian Chmiel
FX/CFD Brokers Must Act as ASIC Tightens Adviser Oversight Ahead of 2026 New Rules
- The Commission has warned AFS licensees, including FX and CFD brokers, to urgently correct the adviser register's errors.
- According to the market watchdog, it must be done before the new 2026 qualification rules take effect.
- Inaccurate records could lead to compliance breaches and regulatory action.
Tuesday, 03/06/2025 | 06:51 GMT by
Damian Chmiel
FCA Receives 281 Whistleblowing Reports, Compliance Tops Allegations in Q1 2025
- Most whistleblowing reports, 150, were submitted via the online reporting form, and 42 via email.
- The FCA took action in over 40% of whistleblowing cases closed in the quarter.
Monday, 12/05/2025 | 09:54 GMT by
Tareq Sikder
Is This the End of Crypto Regulation as We Know It? SEC's Shift Explained
- Trump's SEC is dramatically shifting away from aggressive crypto enforcement to clearer rulemaking.
- Acting Chairman Uyeda halts non-fraud actions, including those of the biggest industry players.
- Finance Magnates' April 2025 Compliance Report provides essential insights on this regulatory revolution.
Wednesday, 09/04/2025 | 07:36 GMT by
Damian Chmiel
The Important Role of Regulation in Trading and What Traders Should Know
- GCC Brokers, an example of how brokers can win traders’ hearts and minds by staying compliant
Wednesday, 02/04/2025 | 08:11 GMT by
GCC Brokers
TRAction to Handle ASIC Compliance for This $35.9 Billion Manager
- Shenkman Capital has engaged TRAction to handle its ASIC OTC derivatives trade reporting requirements.
- The agreement allows Shenkman to focus resources on core business functions while meeting regulatory obligations.
Wednesday, 26/03/2025 | 09:14 GMT by
Damian Chmiel
Muinmos Invests in Africa Due Diligence to Tackle $230 Billion Market's KYC Challenges
- The company has acquired an equity stake in ADD, combining their verification technologies.
- The partnership aims to increase investor approval rates while providing due diligence on financial institutions across 54 African countries.
Thursday, 20/03/2025 | 10:00 GMT by
Damian Chmiel
When a “Smile” Means More Than You Think: Emojis and Compliance Risks
- Emojis pose compliance risks as regulators like FINRA and the SEC monitor their use in communication.
- Tracking emojis manually is impractical, so firms need technology to monitor intent and risks.
Tuesday, 18/03/2025 | 08:42 GMT by
Harriet Christie
What Every Compliance Team Should Know in 2025
- Regulatory changes are reshaping financial compliance this year.
- From DORA's digital resilience mandates to MiCA's crypto framework, staying ahead is essential for survival.
- Download our free report to navigate these complex challenges with confidence.
Monday, 17/03/2025 | 11:27 GMT by
Damian Chmiel
Are You Ready for DORA, MiCA, and Global Regulatory Shifts? Claim Your Free Compliance Report
- Did you know that financial cyberattacks have increased by over 50% in just one year?
- The cost of handling them is five times higher than DORA compliance.
- Stay ahead with the latest Finance Magnates report, get your copy today.
Monday, 10/03/2025 | 10:07 GMT by
Damian Chmiel
ASIC Mandates Stricter Compliance for Australian Firms: Highlighting Voice Communication
- The guidance stresses close supervision of representatives to ensure compliance with internal policies and external regulations.
- ASIC’s new rules reflect US regulatory actions, targeting greater transparency and stricter enforcement in financial communications.
Thursday, 16/01/2025 | 11:18 GMT by
Harriet Christie
CySEC Alerts CIFs to UKNF Restrictions on Referral and Affiliate Programmes
- The regulator urges CIFs to comply with the UKNF's October 2023 position on referral practices.
- The UKNF states that only investment firms or their tied agents are authorized to perform client acquisition tasks.
Tuesday, 12/11/2024 | 12:27 GMT by
Tareq Sikder
7th Largest Crypto Exchange Relaunches in The UK Market, Offering 150+ Tokens
- Bitget is back in the country after fully complying with the newest crypto and financial promotions regulations.
- The UK clients could help expand the current user base of 45 million and boost trading volumes even further.
Tuesday, 12/11/2024 | 10:00 GMT by
Damian Chmiel
Disrupting a $206B Industry: Can AI Turn Regulatory Challenges into Competitive Advantage?
- The current cost of compliance for financial services worldwide is a staggering US$206 billion, equivalent to 12% of global research and development expenditures.
- Many AI-based platforms cover the entire compliance lifecycle - from policy setting to enforcement, correction, and audit.
Monday, 28/10/2024 | 11:54 GMT by
Nitzan Boyarsky
Crypto Firms Must Toe the Line with Dubai VARA’s Compliance Regulations
- Companies promoting digital assets must include a visible warning that they may lose value and are highly volatile.
- This announcement has followed an agreement between VARA and the SCA.
Thursday, 26/09/2024 | 10:48 GMT by
Tareq Sikder
Crypto Exchange Giant Ramps Up Compliance Hiring, Spends $200 Million
- Binance plans to hire 1,000 new employees in 2024, with 20% focused on compliance roles.
- The new CEO of the company wants the compliance team to consist of 700 people by the end of 2024.
Thursday, 22/08/2024 | 08:26 GMT by
Damian Chmiel
!"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|} !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}