Compliance & Ethics

AFM Steps Up Pressure on Financial Firms to Strengthen Digital Accessibility Compliance

In its latest update tied to the European Accessibility Act, the Netherland's Autoriteit Financiële Marktenthe laid out guidance for firms navigating accessibility requirements, while making clear that oversight will intensify in the months ahead. The aim is to ensure that people with disabilities can access and manage financial services independently in an increasingly digital environment.

Live Nation Hit With $3.8 Million Fine as Polish Regulator Orders Consumer Refunds Over Contract Terms

The Polish Office of Competition and Consumer Protection found that provisions used by the events giant created confusion at venue entrances and imposed unfair hurdles on refunds for canceled shows. The regulator has imposed a fine of approximately $3.8 million (PLN 15.3 million) and ordered the company to compensate affected consumers.

Spain’s Competition Watchdog Urges Stronger Role for Market Forces in Anti-Corruption Push

Spain’s competition regulator, the National Commission on Markets and Competition, is released a formal opinon pressing for a sharper focus on competition as lawmakers move forward with a sweeping effort to strengthen public sector integrity.

Italy Investigates Booking.com Over How It Promotes ‘Preferred’ Listings

Italy’s competition authority has opened a formal investigation into Booking.com, raising questions about whether the platform’s most prominent listings are being presented in a way that could mislead consumers.

UK Regulators Begin Overhaul of Senior Managers Regime, Aiming to Cut Burden Without Diluting Accountability

The Financial Conduct Authority and the Prudential Regulation Authority have set in motion the first phase of a significant overhaul of the UK’s Senior Managers and Certification Regime, signaling a shift toward a more streamlined and flexible approach to oversight while holding firm on the principle of individual accountability.

OCC Enforcement Actions for April Zero In on Lending Practices & Accountability

The Office of the Comptroller of the Currency has released its April 2026 enforcement actions, with a consent order against The Federal Savings Bank drawing particular attention for its focus on deceptive lending practices tied to loans for veterans.

JPMorgan Securities Hit With $3.25 Million FINRA Fine Over Supervision Lapses in High-Risk Trading Strategy

JPMorgan Securities has been censured and fined $3.25 million by the Financial Industry Regulatory Authority after regulators found the firm failed to properly oversee a broker who pushed clients into a high-risk, leveraged investment strategy that unraveled during market turmoil.