Compliance & Ethics

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.

FERC Orders $1.13 Billion Penalty Against American Efficient Over Decade-Long Energy Market Fraud

The Federal Energy Regulatory Commission (FERC) has issued one of the most significant enforcement actions in its history, ordering American Efficient and its affiliates to pay more than $1.1 billion following what regulators described as a sweeping, years-long fraud in U.S. energy markets.

EBA Sets Out Plan to Cut Reporting Burden in Sweeping Overhaul of EU Banking Framework

The European Banking Authority is moving to reshape how banks report data to supervisors across the European Union, unveiling a wide-ranging proposal aimed at simplifying one of the most complex, and often criticized, areas of regulatory compliance.