Compliance Corner
Compliance Corner
Welcome to the Compliance corner section. We have organised compliance and regulator specific content here. You can filter the content based on Jurisdiction and keywords.
Detailed content can be viewed by clicking on the topic dropdown.
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Compliance Corner
What regulations are there for the payment services industry?
Compliance Corner
What is the US’ Community Reinvestment Act?
Topics
What is the Securities and Exchange Commission (SEC)?
What is the Financial Conduct Authority (FCA)?
What is the Canadian Securities Administrators?
Regulatory compliance in the UK
The Bank of England: an overview
European Banking Authority (EBA): an overview
European Securities and Markets Authority (ESMA): an overview
Monetary Authority of Singapore (MAS): an overview
What is the Prudential Regulation Authority?
What is a Money Laundering Reporting Officer?
The European Commission (EC): an overview
The European Central Bank (ECB): an overview
What is the Office of the Superintendent of Financial Institutions (OSFI)?
Information Commissioner’s Office (ICO): an overview
Office of the Comptroller of the Currency (OCC): an overview
SEC Division of Examinations: an overview
The Commodities Futures Trading Commission (CFTC): an overview
The Financial Action Task Force (FATF): an overview
What is regulatory change management?
Regulatory Risk Management: How will Executive Order 14028 change the cybersecurity landscape?
What are the Edinburgh Reforms?
GDPR: An overview
What are BEAR and SEAR?
What is STIFC?
What is the Bank Secrecy Act?
The European Banking Authority’s roadmap on sustainable finance
The European Banking Authority’s roadmap on sustainable finance
What are NFTs and are they regulated?
Hemp Banking
UK government Big Bang 2.0
What are the current US ESG regulations?
An overview of the Green Finance Institute’s UK Green Taxonomy
An overview of Schrems II
What are regulatory requirements?
What’s happening with liability driven investment strategies?
Is SMCR actually working?
Operational Resilience in the US: best practices
Corporate Criminal Liability: is change on the horizon?
AML Compliance Manual: create an effective strategy against money laundering
What are Securities Financing Transactions (SFTs)?
What is the Markets in Crypto Assets Regulation (MiCA)?
What is the Taskforce on Nature-related Financial Disclosures?
What is Buy Now Pay Later- and is it regulated?
What are the FCA rules on communication (COBS 4)?
What are Suspicious Transaction and Order Reports?
What is Brazil’s Lei Geral de Proteção de Dados Pessoais?
Why do financial regulations change?
Operational resilience: what is SS1/21 and how can firms comply?
What is the Foreign Corrupt Practices Act?
What is the US Cybersecurity and Infrastructure Security Agency (CISA)?
What is Regulation S-K?
What is the Network Information Systems Directive (NIS)?
Regulatory compliance in the UK
What is the Digital Operational Resilience Act?
Emerging regulations for ESG disclosure
Strong Customer Authentication (SCA): what is it?
Cybersecurity regulations: an overview
5AMLD: what does it mean for financial institutions?
Senior Managers and Certification Regime (SMCR): an overview
What is AMLD6? Defining, deterring and detecting illicit finance
Future Regulatory Framework Review: an overview
The Investment Firms Prudential Regime (IFPR): an overview
Ontology: how does it work for regulatory compliance?
Regulatory intelligence: what does it mean?
Horizon scanning for compliance
LIBOR: an overview
Know Your Customer (KYC): an overview
CCPA compliance (California Consumer Privacy Act): an overview
What is regulatory change management?
Basel III: an overview
US Anti Money Laundering Act 2020 (AMLA): an overview
FINRA Rule 4511: an overview
The European Market Infrastructure Regulation: an overview
The Colorado Privacy Act (CPA): an overview
What are regulatory requirements?
Fintech vs Regtech: what is the difference?
What is horizon scanning in the compliance and regulatory world?
How Regulatory Intelligence can help your firm be compliant
What is RegTech?
Operational Resilience in the US: best practices
What is embedded finance?
Natural Language Processing (NLP): what is it?
Ontology: how does it work for regulatory compliance?
RegTech: what is it?
Regulatory intelligence: what does it mean?
Cryptocurrency: what is it?
Open banking: what is it?
FinTech: what is it?
Challenger banks: an overview
Machine Learning: what is it?
Cybercrime: what is it?
Alternative data: what is it?
What is regulatory change management?
Infographic: Understanding the ‘S’ in ESG
What is the Taskforce on Nature-related Financial Disclosures?
What is greenwashing?
Emerging regulations for ESG disclosure
Environmental, social, and governance (ESG): what is it?
Sustainable finance: an overview
Sustainable Finance Disclosure Regulation (SFDR): an overview
Glossary of terms and acronyms
| Acronym | Meaning |
|---|---|
| 5AMLD | 5th Anti Money Laundering Directive |
| 6AMLD | 6th Anti Money Laundering Directive |
| AI | Artificial Intelligence |
| AML | Anti Money Laundering |
| API | Application Program Interface |
| BOE | Bank of England |
| CCPA | California Consumer Privacy Act |
| CFTC | Commodities Futures Trading Commission |
| DOJ | US Department of Justice |
| EBA | European Banking Authority |
| ESG | Environmental, social and corporate governance |
| ESMA | European Banking Authority |
| FCA | Financial Conduct Authority |
| FINRA | Financial Industry Regulatory Authority |
| FinTech | Financial Technology |
| FINTRAC | Financial Transactions and Reports Analysis Centre of Canada |
| FRF | Future Regulatory Framework Review |
| Acronym | Meaning |
|---|---|
| GDPR | General Data Protection Regulation |
| HMRC | Her Majesty's Revenue and Customs |
| ICO | Information Commissioner's Office |
| KYC | Know Your Customer |
| MAR | Market Abuse Regulation |
| MAS | Monetary Authority of Singapore |
| MiFID II | Markets in Financial Instruments Directive II |
| ML | Machine learning |
| MLRO | Money Laundering Reporting Officer |
| NLP | Natural language processing |
| OCC | Office of the Comptroller of the Currency |
| OCIE | Office of Compliance Inspections and Examinations |
| OSFI | Office of the Superintendent of Financial Institutions |
| PRU | Prudential Regulation Authority |
| RegTech | Regulatory Technology |
| SaaS | Software as a Service |
| SEC | US Securities and Exchange Commission |
| SMCR | Senior Managers and Certification Regime |
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