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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.

Emily Harris

Emily Harris Head of Compliance at Fiat Republic

An Open Letter to the FCA: Go Beyond Financial Promotions

At Fiat Republic, we are committed to helping the cryptocurrency industry navigate fast-changing financial regulations. Our crypto consortium is directly tied to this vision; it will represent responsible crypto providers, who will be encouraged and incentivised to stick to a single, predictable standard of compliance and transaction monitoring. T...

/regulation /crypto

Andrew Lawton

Andrew Lawton Founder & CEO at Reskube Ltd

Deadline looming for financial services firms to demonstrate operational resilience

31st March 2022 represents an important regulatory deadline for financial services firms in the UK. Last March, the Bank of England and FCA released their Operational Resilience Policy Statement. It requires that, by this date, UK financial services companies must have demonstrated that they have identified their important business services, and a...


Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at

Could Norway’s Tight Substantial Shareholding Disclosure Window Cost It Investment

It is widely known that Norway has one of the tightest substantial shareholding disclosure windows among countries. While many countries allow for reporting of substantial shareholding within days of a threshold breach, Norway’s requirement is immediately. What does immediately mean? According to Rulefinder, the online regulatory intelligence solut...

/regulation /markets

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at

Roundup of Q4 2021 Foreign Direct Investment Regulations

Changes and extensions to foreign direct investment rules in the fourth quarter of 2021 continued to be fueled by Covid-19 as the Omicron variant made its debut in November. A few countries, France, Italy, and Spain have extended their existing FDI restrictions that were put in place in 2020 as temporary measures through to 31 December 2022. France...

/regulation /markets

Jussi Karjalainen

Jussi Karjalainen CEO at Valtatech

How NOT to fail the Australian Prudential Regulation Authority's YFYS spend related performance test

As the Australian Prudential Regulation Authority (APRA) continues to introduce more and more regulation and oversight over the superannuation industry, superfunds are finding themselves having to continually review their processes and policies to ensure that they remain compliant. The latest Your Future Your Super (YFYS) reforms, which came into ...

/regulation /wealth

Garima Chaudhary

Garima Chaudhary Head of Fin. Crime Solution Consulting - Americas at Oracle

What U.K. bank CEOs can do now to close gaps in their anti-money laundering controls

Introduction The Financial Conduct Authority (FCA), the regulator of financial markets in the U.K., flexed its muscles in March of this year when it launched its first attempted prosecution for anti-money laundering (AML) failings against NatWest. A couple of months later, David Geale, the Director of Retail Banking and Payments Supervision for th...

/regulation /crime

Luigi Wewege

Luigi Wewege President at Caye International Bank

Can a United States Citizen Have an Offshore Bank Account?

One of the downsides of the Internet is the dissemination of misinformation. That has led some to believe that US citizens cannot open and maintain offshore bank accounts, investment accounts, and other types of financial resources. That’s not the case. While some things have changed over the years, the truth is that US citizens are free to open ac...

/regulation /inclusion

Karen Hsu

Karen Hsu CMO at Appdome

BSA Compliance and FFIEC Examinations for Mobile Apps

Thanks in large part to the global pandemic, consumers are increasingly turning to mobile apps to manage their finances, payments and transactions. In fact, 58% of mobile consumers report using and downloading more mobile apps and buying more products and services on them since the COVID-19 pandemic started, according to the Appdome 2021 Global M...

/security /regulation

Retired Member

Retired Member 

How Financial Institutions Can Fight Money Laundering in a Disrupted Global Environment

The disruption and uncertainty created by COVID-19 has slowed business execution across all aspects of businesses. Anti-financial crime and compliance functions are no exception. However, the challenges and pressures of fighting money laundering and other financial crimes have not eased. Instead, the current environment is making the need to drive...

/crime /covid-19

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at

Slow Third Quarter for Foreign Direct Investment Changes

As expected, it’s been a slow third quarter for changes to foreign direct investment (FDI). Following on from my last update, we’ll start in the AsiaPac region and move westward. Australia has been evaluating the reforms to foreign direct investment that commenced in beginning of the year. The Treasury is evaluating whether these reforms have stru...

/regulation /markets

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