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Financial Services

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UK board-game developer QPlay set to be first company traded on Pisces March 10, 2026 | Sofia Gerace

UK-based trading platform JP Jenkins is set to host the first share sale on Pisces, the new regulator-backed private market venue. Board-game developer QPlay will use the platform for the transaction, which wi... (more story)

EU turns to private capital as public funds fall short of clean energy needs March 10, 2026 | Helena Freitas

A plan to mobilize private capital for the clean energy transition was unveiled by the EU, which warned that public funding alone cannot meet the roughly €660 billion needed annually through 2030. The plan aim... (more story)

UK fund manager Odey 'wielded threats' to execs over misconduct probe, court told March 10, 2026 | Martin Coyle and Sofia Gerace

UK hedge-fund manager Crispin Odey threatened to shut his firm down after senior executives tried to take disciplinary proceedings against him over sexual misconduct allegations, a tribunal heard on Tuesday. T... (more story)

US CFTC may adopt rules to protect those with direct futures market access, Selig says March 09, 2026 | Neil Roland

The US Commodity Futures Trading Commission is considering rules to address derivatives clearing organizations and designated contract markets that let ordinary investors get market access without intermediati... (more story)

NY Stock Exchange to pay $9 million to US SEC over 2023 technology glitch March 06, 2026 | Neil Roland

The New York Stock Exchange has agreed to pay a $9 million fine to settle US Securities and Exchange Commission charges related to a 2023 technology glitch that disrupted the opening of trading in thousands of... (more story)

Canaccord fined by US regulators for anti-money laundering compliance failures March 06, 2026 | Samuel Rubenfeld

Canaccord Genuity failed to maintain an effective anti-money laundering compliance program and didn’t report suspicious activity in over-the-counter trading markets, US regulators said Friday, imposing an $80 ... (more story)

UK financial firms might have to prove their AI oversight competency March 06, 2026 | Sofia Gerace

The UK’s Financial Conduct Authority is considering whether firms should be required to prove the competency of staff overseeing AI systems. While existing rules already make firms accountable for AI-driven ou... (more story)

Revamped EU bank resolution gets a step closer to final approval March 06, 2026 | Fanny Roux

The EU's revamped bank resolution framework was formally agreed to by EU countries on Thursday. The final texts, which are the result of a negotiation between EU countries and the European Parliament, now have... (more story)

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Is rushing ahead with EU capital market reform really a good idea? March 10, 2026 | Fanny Roux

Growing political pressure for EU capital markets reform has put the issue at the top of EU leaders' agendas, but the approach — including setting tight deadlines — is facing criticism from member states oppos... (more story)

Trump administration reveals bank liquidity plan mirroring Biden’s March 06, 2026 | Neil Roland

Trump administration officials this week unveiled their upcoming approach to the liquidity squeeze that starved three US banks in the Spring of 2023 — and it’s largely the same policy floated by the Biden admi... (more story)

UK car finance lenders get concession to prep for £11bn compensation payments March 04, 2026 | Sofia Gerace

UK car finance lenders have secured an early concession after the financial sector regulator signalled they could have between three and five months to prepare before reaching out to customers that are due com... (more story)

First share sale to set regulatory precedent on UK’s new Pisces private market February 26, 2026 | Sofia Gerace

The inaugural share sale on the UK’s new Pisces private market has been months in the making, but it could help establish a template for interpreting overseas participation and stamp-duty rules. The Financial ... (more story)

US order on chatbot privilege underscores lack of privacy for AI conversations February 17, 2026 | Emma Whitford

Criminal defendants can't assume their litigation-related conversations with chatbots will remain confidential, a Tuesday order out of the Southern District of New York shows. It’s the second reminder this yea... (more story)

UK watchdog’s £10m investor threshold puts growth ambitions under the spotlight February 17, 2026 | Sofia Gerace

The UK's financial regulator is considering a new £10 million wealth threshold to allow high-net-worth individuals to forgo retail investor protections — a move that sparked industry and consumer debate. The f... (more story)

Differences in UK's military and civilian AI regimes can inform good regulation February 13, 2026 | Frank Hersey

UK financial services’ adoption of AI is already benefitting from stress-testing techniques developed for assessing military uses of AI that can help the financial regulator understand what’s going on under th... (more story)

EU leaders to ignite debate on bank capital rules February 11, 2026 | Fanny Roux

The issue of reviewing the EU bank capital framework will be raised by some member states during an informal meeting of EU leaders on competitiveness on Feb. 12 at a castle in eastern Belgium. These informal d... (more story)