Regulatory technology finance

MiFID II compliance overview with transaction reporting, record-keeping, and automated regulatory technology for financial firms.

MiFID II Overview: Key Rules and the Digital Tools Driving Compliance

John Carrington November 18, 2025

Between December 2018 and December 2023, Sigma Broking Limited submitted 924,584 incorrect MiFID II transaction reports to UK regulators. Nearly...

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FCA Bans Jeffrey Dawkins, Fines Him Nearly £270,000 Over Mini-Bonds

FCA Bans Jeffrey Dawkins, Fines Him Nearly £270,000 Over Mini-Bonds

John Carrington October 25, 2026

What Boards Must Decide Now on Rule 14a-8 Shareholder Proposals

What Boards Must Decide Now on Rule 14a-8 Shareholder Proposals

John Carrington October 25, 2026

What ICO AI Data Protection Commitments Mean for AI Deployers

What ICO AI Data Protection Commitments Mean for AI Deployers

Sophie Longford October 15, 2026

RiskSmart football club compliance software supporting licensing, anti-money laundering and governance requirements.

RiskSmart Enters Football Through Lagom Referral Partnership

John Carrington October 14, 2026

FCA transaction reporting changes for UK financial firms, including reduced reporting fields, revised reporting requirements and the April 2028 implementation date.

Preparing for FCA Transaction Reporting Changes by April 2028

Sophie Longford October 13, 2026