Compliance & Ethics

Germany's Federal Data Protection Commissioner (BfDI) has issued recommendations urging the Federal Government to improve public information and give insured persons finely differentiated control over who can view their electronic patient record (ePA) data. From the end of October 2026, pseudonymized medication list data can be extracted from the ePA for research unless the insured person objects. Compliance teams at health-sector organizations and research partners should treat this as a signal of regulatory expectations for consent, transparency, and secondary use of health data.

Senior officials from the CFTC, SEC, FDIC, Federal Reserve Board, and Bank of England held a tabletop exercise on September 3, 2026, on the hypothetical resolution of central counterparties (CCPs). The meeting focused on information sharing and communications arrangements to support financial stability during a CCP resolution. It introduces no new requirements, but it signals continued cross-border policy attention on CCP resilience that matters for clearing members and market participants.

The Norway Financial Supervisory Authority (Finanstilsynet) has published a warning about the website accsmanager.com, relaying a listing by France's Autorité des Marchés Financiers (AMF) on its blacklist of impersonation (usurpation) schemes. Compliance teams should treat the domain as a likely fraudulent or unauthorized actor and update their controls and customer-protection measures accordingly.

The Norway Financial Supervisory Authority (Finanstilsynet) has published a warning about pgroup-client.com, a site the French Autorité des marchés financiers (AMF) flagged on its blacklist for impersonation (usurpation). Compliance teams should treat the domain as a likely fraud vector and add it to screening and monitoring controls, since impersonation schemes target both customers and institutions.

The FCA's CP26/33 finds that general insurance (GI) value measures have improved transparency and customer outcomes, but that inconsistent reporting limits the data's usefulness. It proposes two minor burden-reducing changes now and signals broader rule changes in the first half of 2027. Responses are due by 9 October 2026, so compliance teams have a short window to comment and should begin planning for the wider reforms.

Norway's Financial Supervisory Authority (Finanstilsynet) has published a warning about Profit Ventures Limited, citing a UK Financial Conduct Authority (FCA) notice. Compliance teams should treat the entity as high risk for unauthorized investment activity and screen for any exposure. The source record is brief, so teams should review the FCA notice for specifics.

The FCA's updated Senior Managers Regime guidance restates that Senior Management Function (SMF) holders need regulatory approval before starting their roles, must have a Statement of Responsibilities, and carry a statutory Duty of Responsibility. Requirements differ by firm type (solo- or dual-regulated) and category, so compliance teams should confirm that their categorization, responsibility allocation, and fitness and propriety processes align with the guidance. Senior individuals face personal accountability if reasonable steps are not taken to prevent or stop breaches.