Regulus — The global regulatory broadcast network

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Federal Register — State Department Source document ↗

United States Federal Register — State Department Governance & Accountability ✓ 10 claims 22 Oct 2026

State Department grants cultural significance status to Italian exhibition objects

A routine Federal Register notice records the State Department's determination that imported exhibition objects are culturally significant and their display is in the national interest, a procedural step required before foreign-owned artworks can be shown in the United States under long-standing immunity protections.

The determination covers objects imported for the exhibition 'Two Minds, One Vision' at the Embassy of Italy in Washington, District of Columbia and the Italian Cultural Institute in New York, New York.
Additional exhibition venues may be determined at a later date, according to the notice.
The authority for the determination derives from the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047, and three named delegations of authority.
The notice was signed by Sherry C. Keneson-Hall, Principal Deputy Assistant Secretary for Educational and Cultural Affairs, Bureau of Educational and Cultural Affairs.

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Federal Register — Federal Reserve Source document ↗

United States Federal Register — Federal Reserve Governance & Accountability ✓ 15 claims 22 Oct 2026

Fed opens comment period on two bank control change notices

A routine Federal Register notice discloses two pending Change in Bank Control Act applications before Federal Reserve Banks in Atlanta and Minneapolis. It sets out who is applying, which institutions are affected, and the public comment deadline for interested parties to weigh in.

The Charles Clifford Brooks, Jr. Living Trust and related individuals seek to join the Brooks Family Control Group to retain voting shares of TCB Bancshares, Inc. and The Commercial Bank, both of Crawford, Georgia.
The Jerome and Barbara Lifetime Bank Stock Revocable Trust and related individuals seek to join the Bushman Family Group to retain voting shares of First Southeastern Banc Group, Inc. and First Southeast Bank, both of Harmony, Minnesota.
Comments on both applications must be received by the designated Federal Reserve Bank or the Board's Secretary, Benjamin W. McDonough, no later than November 6, 2026.
The applications are filed under the Change in Bank Control Act, 12 U.S.C. 1817(j), and 12 CFR 225.41, with review standards set out in paragraph 7 of the Act.

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Federal Register — SEC Source document ↗

United States Federal Register — SEC Governance & Accountability ✓ 12 claims 22 Oct 2026

SEC moves to cancel registrations of 20 dormant transfer agents

A routine but consequential SEC notice lists 20 registered transfer agents the Commission believes are defunct or have exited the business. Firms that rely on transfer agent registries, or that hold legacy relationships with any named entity, should check this list and understand the narrow window to object before cancellation proceeds.

The SEC intends to cancel registrations of 20 transfer agents listed in the Appendix under Section 17A(c)(4)(B) of the Securities Exchange Act of 1934.
The Commission believes each listed transfer agent is no longer in existence or has ceased doing business as a transfer agent.
Representatives who dispute cancellation must email tradingandmarkets@sec.gov with the specified subject line within 30 days after the notice date.
Absent a successful objection, the Commission intends to issue the cancellation order at any time after December 1, 2026.
Named firms include Atlas Resources LLC, Boston Financial Group Ltd Partnership, Gemisys Transfer Agents, Redblock Inc, and Vail Stock Transfer.

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Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 15 claims 22 Oct 2026

Treasury seeks comment on AI-assisted Fraud.gov tip intake form

Treasury has published a Paperwork Reduction Act notice renewing the information collection behind Fraud.gov, a government-wide tip intake and referral portal. The notice discloses that an AI tool drafts initial field entries and routing suggestions from public submissions, a detail compliance and government affairs teams tracking federal fraud referral channels will want to note.

Comments on the collection are due by December 21, 2026, sent to the Treasury PRA Clearance Officer or PRA@treasury.gov.
Treasury estimates 80,000 respondents annually, each submitting once, for an estimated total annual burden of 40,000 hours.
An artificial intelligence tool processes initial tip entries, populates standardized fields and generates routing recommendations before human review.
The collection supports Executive Order 14249, 'Protecting America's Bank Account Against Fraud, Waste, and Abuse,' and Executive Order 14395 establishing the Task Force to Eliminate Fraud.
This is an extension without change of a currently approved collection under OMB Control Number 1505-0284.

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FINRA Source document ↗

United States FINRA Governance & Accountability ✓ 27 claims 21 Oct 2026

FINRA 2026 customer data request adds elder-exploitation and beneficiary questions

FINRA has issued its 2026 Customer Information Request, a voluntary data collection that reached more than 2,400 firms. This year's form adds questions on registered persons named as customer beneficiaries and on temporary holds placed under the senior-exploitation rule. The FAQs clarify who counts as a customer, how to treat foreign and politically exposed relationships, and what to do if a firm cannot meet the deadline.

FINRA requested responses to the 2026 CIR by Nov. 18, 2026, covering customer data as of Sept. 30, 2026, from more than 2,400 firms contacted on Oct. 7, 2026.
New question 6b asks for the number of Non-Institutional accounts where the assigned registered person has been approved under Rule 3241 to be a beneficiary or hold a position of trust.
New questions let firms report the total number of temporary holds placed on Specified Adult accounts under Rule 2165 during the 12-month period ending Sept. 30, 2026, counting each hold separately.
Firms needing more time for their initial submission should notify their Risk Monitoring Analyst of the delay with an expected submission date and the reason, such as resource or technical constraints.
Amendments to an already submitted response may be filed at any time after Nov. 18, 2026, via the Create Amendment function in FINRA Gateway.

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American Bankers Association — newsroom Source document ↗

United States American Bankers Association — newsroom Governance & Accountability ✓ 17 claims 21 Oct 2026

ABA names 11 winners of 2026 Emerging Leader Awards

A brief industry announcement rather than a regulatory development: the American Bankers Association has named its 2026 class of Emerging Leader Award winners. Readers in compliance or policy roles may skim this for personnel moves at member institutions rather than for any binding obligation.

ABA announced 11 winners of its 2026 Emerging Leader Awards on October 21, 2026.
Winners include a BSA, fraud and compliance vice president at Monson Savings Bank and a chief executive officer at Decatur County Bank.
Judging criteria included dedication to the profession, inventiveness, leadership skills, mentoring ability, personal integrity, tenure and academic training.
The winners will be recognized at the ABA Annual Convention, held October 25-27 in Salt Lake City.

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AFM Netherlands Source document ↗

AFM Netherlands Governance & Accountability ✓ 14 claims 21 Oct 2026

AFM flags ESMA's 2026 reporting priorities plus cash flow and segment disclosure gaps

The AFM has set out what it will scrutinise in 2026 corporate reporting from listed companies, combining ESMA's newly published European supervisory priorities with two areas the AFM itself has flagged before. The note matters to finance directors, audit committees and auditors preparing year-end accounts and disclosures.

ESMA published its 2026 corporate reporting supervisory priorities on October 13, which the AFM says it will focus on during the coming year.
ESMA's priorities cover financial reporting on geopolitical risks and restructuring or debt restructuring provisions, sustainability reporting on double materiality assessment progress, and ESEF errors in the statement of changes in equity.
The AFM continues to ask companies to review cash flow statement quality against IAS 7, referencing its own previously published points of attention and self-assessment tool.
The AFM will keep focusing on compliance with IFRS 8 requirements to disclose specified amounts, including material income and expense items, for each reportable segment.
ESMA has published the 31st extract from the FRWG (EECS) enforcement decisions database covering IFRS Accounting Standards and the APM Guidelines.

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Federal Register — SEC Source document ↗

United States Federal Register — SEC Governance & Accountability ✓ 21 claims 21 Oct 2026

SEC proposes reopening fixed-income cross trading shut off by 2022 valuation rule

The SEC has proposed amendments to rule 17a-7, the exemption letting affiliated funds trade securities directly with each other. The changes would restore eligibility for many fixed-income securities that became ineligible after a 2020 valuation rule took effect, while adding new pricing, oversight and reporting conditions. Comments close December 14, 2026.

Comments on the proposed rule are due on or before December 14, 2026, under File Number S7-2026-36.
Rule 2a-5's definition of readily available market quotations has made most fixed-income securities ineligible for cross trading since its compliance date of September 8, 2022.
Registered funds investing primarily in fixed-income instruments grew from around $1.5 trillion to approximately $7.9 trillion in assets over the last twenty years, according to the release.
An industry survey found registered funds engaged in more than $200 billion in cross trades of fixed-income securities in 2020, with estimated savings of over $300 million.
The proposal would require aggregated reporting of trading activity and cross trades on Form N-PORT and Form N-MFP.

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UK Competition and Markets Authority Source document ↗

United Kingdom UK Competition and Markets Authority Governance & Accountability ✓ 16 claims 21 Oct 2026

CMA subsidy unit reports on £350m chemicals resilience fund scheme

The CMA's Subsidy Advice Unit has completed its advisory report on a proposed £350 million government subsidy scheme for the UK chemicals sector. This item covers the scheme's structure, funding terms and the SAU's review timetable, relevant to firms in chemicals, critical infrastructure and supply chain sectors watching subsidy design precedent.

The SAU completed its report within 30 working days of accepting BIST's request on 10 September 2026, publishing its final advice on 21 October 2026.
The Critical Chemicals Resilience Fund has an overall budget of £350 million, available until the end of March 2030.
Successful applicants could receive up to 50% of eligible costs for projects that improve resilience and competitiveness.
Eligible companies have already been identified by BIST and ratified by a panel of industry experts, ahead of the fund opening to applications in autumn.
Applicants must submit a business case covering the resilience challenge, proposed investments, delivery arrangements and evidence of additionality and value for money.

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FCA Source document ↗

United Kingdom FCA Governance & Accountability ✓ 24 claims 21 Oct 2026

FCA deputy chief says rulemaking has peaked but tokenisation and T+1 deadlines loom

A speech by FCA deputy chief executive Sarah Pritchard to the Investment Association sets out the regulator's claim to be past peak rulemaking while listing an active pipeline including a fund reporting consultation closing this week, a tokenisation roadmap with the Bank of England, and a warning on T+1 settlement readiness. Useful for compliance teams tracking where FCA attention and enforcement discretion are heading next.

UK investment fraud losses rose 40% in 2025, Pritchard said, despite the FCA securing more criminal convictions than ever before across fraud, money laundering and insider dealing.
The FCA's consultation on streamlining the asset manager rulebook, which it says could save firms £128m per year, is collecting responses until this Thursday.
A joint tokenisation roadmap with the Bank of England, setting the path from testing to lasting market infrastructure, is due next month.
T+1 settlement goes live in under a year and the FCA said it will act against firms found unprepared.
More than a dozen firms were authorised to deliver targeted support within six months of its introduction, with consumers receiving it said to invest up to 53% more than those who do not.

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Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 18 claims 21 Oct 2026

IRS withdraws proposed per se device test and anti-abuse rules for Section 355 spinoffs

Treasury and the IRS have partially withdrawn their 2016 proposed regulations under Section 355, removing a mechanical 'per se' device test and two anti-abuse rules that tax planners had criticised. This matters to any corporation contemplating a tax-free spinoff, and to the advisers who structure them, because the most prescriptive parts of the 2016 package are now off the table while the agencies keep studying the area.

The IRS withdrew proposed Sections 1.355-2(d)(2)(iv)(E) and (d)(5) and 1.355-9(d) as of October 21, 2026, from the notice of proposed rulemaking published on July 15, 2016 (81 FR 46004).
The withdrawn 'per se' device rule would have treated a distribution as a device whenever a corporation's Nonbusiness Asset Percentage exceeded designated thresholds, regardless of other nondevice factors such as a corporate business purpose.
Two anti-abuse rules are also withdrawn, including one tied to a minimum Five-Year-Active-Business Asset Percentage of at least five percent for both the distributing and controlled corporations.
Treasury and the IRS acted after receiving stakeholder feedback that was generally critical of the 'per se' device rule and the two anti-abuse rules.
The withdrawal does not affect the potential application of other rules or judicial doctrines, such as the substance-over-form or step-transaction doctrines.

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American Bankers Association — newsroom Source document ↗

United States American Bankers Association — newsroom Governance & Accountability ✓ 16 claims 20 Oct 2026

ABA asks Treasury to soften trustee liability in Trump account rules

Treasury's August proposal sets eligibility limits for the new child retirement accounts created by last year's tax package. The American Bankers Association has written back with four specific drafting changes aimed at trustees who administer these accounts, covering retroactive status loss, monitoring burden, liquidation liability and successor transfers.

Treasury proposed regulations in August limiting Trump account investments to low expense ratio products without excessive fees or unnecessarily complex strategies.
ABA recommended preserving Trump account and IRA status when a trustee disposes of a disqualified investment and reinvests proceeds within 30 calendar days.
The proposal requires trustees to monitor eligible investments at least once every 12 months; ABA wants funds expressly approved by Treasury exempted from this requirement.
ABA recommended a safe harbor shielding trustees from liability for investment losses or market-related consequences of a required disposition, provided they act in good faith.
ABA proposed letting a successor trustee rely on a transferring trustee's documented eligibility determination until its next periodic review, no later than 12 months after the prior review, or until it has actual knowledge of ineligibility.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 13 claims 20 Oct 2026

HMRC publishes National Insurance Fund accounts for 2025 to 2026

HMRC has updated its National Insurance Fund Accounts page with the Great Britain and Northern Ireland reports for the year ended 31 March 2026. This briefing covers what was published, under what statutory authority, and what the documents are stated to contain, for readers who track the Fund's annual reporting cycle.

The Great Britain National Insurance Fund Account for the year ended 31 March 2026 was published as HC 639, ISBN 978-1-5286-6791-3, running 33 pages.
The Northern Ireland National Insurance Fund Account for the year ended 31 March 2026 was published as HC 640, ISBN 978-1-5286-6792-0, running 34 pages.
Both accounts were presented to Parliament pursuant to section 161(2) of the Social Security Administration Act 1992.
Reports from previous years have been archived and are now accessible only via The National Archives.
The page states the accounts present receipts and payments for the financial year along with the balance on the Fund at year end.

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BIS Press Releases Source document ↗

Global BIS Press Releases Governance & Accountability ✓ 13 claims 20 Oct 2026

BIS Publishes Governors' Panel Remarks on Monetary Policy Amid Fragmentation

This item covers the release of BIS Paper 176, a 20-page record of remarks from a governors' panel on monetary policy in a fragmented global economy, delivered at the 25th BIS Annual Conference. It is useful for tracking what senior central bankers are signalling about fragmentation risks ahead of more substantive working papers still to come.

BIS Paper no 176, published 19 October 2026, is a 20-page record of panel remarks from the 25th BIS Annual Conference.
The conference took place in Basel, Switzerland on 26 June 2026 under the theme "Central banks and macro-financial stability in a fragmented global economy."
The panel on "Monetary policy in a fragmented global economy" featured Governors Fatih Karahan, Tiff Macklem and Ida Wolden Bache, plus Deputy Governor Anna Breman.
Three papers from the same conference are released as BIS Working Papers nos 1384, 1385 and 1386, with a fourth, no 1387, to follow at a later date.

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US Federal Trade Commission — press releases Source document ↗

United States US Federal Trade Commission — press releases Governance & Accountability ✓ 14 claims 20 Oct 2026

FTC clears Publicis-LiveRamp deal on condition of five-year data firewalls

The FTC has approved, subject to conditions, Publicis Groupe's $2.2 billion acquisition of LiveRamp, the data connectivity provider used across the digital advertising industry. The order imposes five years of nondiscrimination, firewall and audit obligations to stop Publicis using its ownership of LiveRamp to disadvantage rival media agencies or misuse competitors' customer data. The public comment period runs 30 days.

Publicis Groupe S.A. is acquiring 100% of LiveRamp Holdings Inc. in a $2.2 billion deal.
The FTC alleged the deal would violate Section 7 of the Clayton Act by harming competition in media agency services and audience data services markets.
For five years, Publicis and LiveRamp must provide non-discriminatory access to LiveRamp's standalone products and are barred from denying, degrading, delaying or impairing that access.
An independent auditor must review compliance every six months for the first two years post-closing, then annually for three more years.
The Commission vote to issue the complaint and accept the consent agreement was 2-0, with a 30-day public comment period now open.

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US Federal Trade Commission — press releases Source document ↗

United States US Federal Trade Commission — press releases Governance & Accountability ✓ 15 claims 20 Oct 2026

FTC Sues to Stop PlayPower's Takeover of Rival Playground Maker Burke

The FTC and a coalition of twelve states have sued in federal court to block Platinum Equity's PlayPower from acquiring BCI Burke, a close rival in commercial outdoor playground manufacturing. This briefing covers the agency's core allegations, the market structure cited, and the procedural posture of the case ahead of litigation in California.

The FTC filed a federal complaint in the U.S. District Court for the Northern District of California seeking a permanent injunction against PlayPower's acquisition of BCI Burke.
Twelve state attorneys general — Arizona, California, Colorado, Illinois, Nevada, North Carolina, Ohio, Pennsylvania, Tennessee, Texas, Washington and Wisconsin — joined the complaint.
The complaint alleges five companies, including PlayPower and Burke, hold 85% to 90% market share in the U.S. commercial outdoor playground equipment market.
PlayPower already owns Miracle Recreation Equipment Company, Little Tikes Commercial and Playworld Systems from prior acquisitions.
The Commission voted 2-0 to authorize staff to pursue the permanent injunction.

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 19 claims 20 Oct 2026

UNC Chapel Hill Settles Title VI Antisemitism and Race Discrimination Probe With DOJ, ED-OCR

The Justice Department and Education Department have reached a university-wide settlement with UNC Chapel Hill over Title VI compliance, covering antisemitism policy, admissions and student benefits. The agreement sets concrete obligations with deadlines and a fixed term, making it a template worth reading for any federally funded institution facing similar scrutiny.

UNC must select a Merit & Civil Rights Administrator within 30 days to implement the settlement agreement.
UNC will send quarterly reports of antisemitism and race discrimination complaints to ED-OCR and the Civil Rights Division.
The settlement bars UNC from using race in admissions, analyzing racial data, or partnering with bridge or pipeline programs that consider protected characteristics.
ED-OCR will close 18 active investigations and DOJ will close its 18-month compliance review opened April 18, 2025.
The agreement remains in effect until December 31, 2028.

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Financial Stability Board Source document ↗

Global Financial Stability Board Governance & Accountability ✓ 16 claims 19 Oct 2026

FSB Chair warns G20 on sovereign bond volatility, private credit and AI risks

The FSB Chair's letter to G20 Finance Ministers and Central Bank Governors, submitted ahead of their 15 October meeting, flags heightened volatility in sovereign bond markets, vulnerabilities in private credit and risks tied to artificial intelligence. It introduces five reports the FSB is delivering, covering global stablecoin arrangements, public sector backstop funding, AI adoption, regulatory modernisation and G20 implementation monitoring.

Bailey flags heightened volatility in sovereign bond markets, vulnerabilities in private credit and AI-related risks as live concerns.
The letter introduces five FSB reports to the G20, including the stablecoin note published alongside it on 12 October 2026.
The Thematic Review on Public Sector Backstop Funding, published 9 October, finds further work is needed to complete implementation of Key Attribute 6.
The FSB is delivering a Consultation Report on Regulatory and Supervisory Modernisation and a G20 Implementation Monitoring Review Report.
The letter was submitted ahead of the G20 ministers' and governors' meeting on 15 October 2026.

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ADGM Abu Dhabi — announcements Source document ↗

United Arab Emirates ADGM Abu Dhabi — announcements Governance & Accountability ✓ 15 claims 19 Oct 2026

ADGM fines PKF Accountants and audit principal USD 100,000 for audit failings

ADGM's Registration Authority has penalised an audit firm and its named registered audit principal after an on-site inspection found an audit that fell short of International Standards on Auditing. The action, with penalties totalling against both firm and individual, signals how the RA intends to police audit quality in the centre. A short item, but a pointed one for anyone holding an ADGM audit registration.

The RA imposed USD 65,000 on PKF Accountants and Business Advisers LLP and USD 35,000 on its registered audit principal, Ms Saranga Omprakash Lalwani.
The action followed an on-site inspection assessing PKF's compliance with ADGM Auditors Rules and the quality of its audit work.
Deficiencies included failures to conduct the audit in accordance with International Standards on Auditing as required by the Companies Regulations (Auditors) Rules 2023, and failure to exercise due skill, care and diligence.
Specific findings covered fraud-risk assessment, insufficient audit evidence, inadequate documentation, and insufficient evidence of the audit principal's involvement.
Decision Notices for both PKF and Ms Lalwani have been published by the RA.

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Sveriges Riksbank Source document ↗

Sweden Sveriges Riksbank Governance & Accountability ✓ 17 claims 19 Oct 2026

Riksbank sets 1 July 2027 deadline to redeem long-invalid Swedish banknotes

Sweden's central bank has fixed a final date for redeeming banknotes that have been invalid for more than a decade. The notice matters to anyone holding pre-changeover Swedish currency, and sets out the application window, the 300-kronor fee and the documentation each applicant must supply. It is short, operational and time-limited.

From 1 July 2027 the Riksbank will no longer redeem banknotes that have been invalid for more than ten years.
Applications for redemption must reach the Riksbank by 30 June 2027 at the latest.
Redemption costs 300 kronor where an application is approved, and each case is assessed individually.
Applicants must attach supporting documentation showing where the money comes from, such as bank statements.
The Riksbank estimates approximately SEK 3.9 billion in invalid banknotes remains unredeemed.

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Deutsche Bundesbank — speeches Source document ↗

European Union Deutsche Bundesbank — speeches Governance & Accountability ✓ 27 claims 19 Oct 2026

Bundesbank's Nagel urges Europe to diversify Asia trade, cut China import dependencies

Bundesbank President Joachim Nagel used a Bangkok panel to set out how Europe should recalibrate its economic relationship with Asia. The remarks matter less as policy than as a signal of how Germany's central bank frames supply-chain resilience, the Savings and Investments Union, and competitiveness. A short read for anyone tracking EU trade strategy and industrial-policy direction.

Nagel said that since 2019 EU exports to China have remained broadly stable while imports from China have increased substantially.
He welcomed the EU-India trade agreement reached this year and the agreements with Indonesia concluded last year.
He cited the ESMC joint venture in Dresden, with partner TSMC, and Infineon's new site near Bangkok opened two weeks earlier as examples of resilient value chains.
He called for implementing the Savings and Investments Union so European start-ups can access enough venture capital to scale and compete globally.

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ESMA Source document ↗

European Union ESMA Governance & Accountability ✓ 13 claims 19 Oct 2026

ESMA says access to third-country CSDs will continue past January 2027 deadline

ESMA has issued a statement addressing uncertainty over what happens when the transitional regime for third-country Central Securities Depositories expires on 17 January 2027, before EU legislation extending it is finalised. This matters for issuers and other market participants relying on notary and central maintenance services from non-EU CSDs.

The current transitional regime for third-country CSDs is set to expire on 17 January 2027.
ESMA's statement, reference ESMA74-2119945926-3877, was published on 7 October 2026.
The Market Integration and Supervision Package, which proposes extending the transitional regime, remains under negotiation.
ESMA states it understands both the Council of the European Union and the European Parliament support an extension.
Issuers had raised concerns about operational challenges stemming from uncertainty over continued access to third-country CSD services.

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Bank Policy Institute Source document ↗

United States Bank Policy Institute Governance & Accountability ✓ 17 claims 19 Oct 2026

FDIC and OCC propose easing rules on sharing confidential supervisory information

The FDIC and OCC have proposed reworking the rules that govern how banks handle confidential supervisory information. BPI, which supports much of the direction, sets out where the proposals fall short: imprecise definitions, prescriptive confidentiality agreements, limited third-party disclosure categories and no notice before discretionary agency disclosures. This explainer is the fastest route to what is on the table and what BPI wants changed.

The FDIC and OCC proposals would expand when banks may share their own CSI without obtaining prior regulatory approval.
BPI wants CSI defined precisely so institution-generated materials do not become CSI merely because they are shared with or reviewed by the FDIC or OCC.
BPI recommends notice and an opportunity to object before an agency makes a discretionary disclosure of institution-specific CSI.
BPI asks that prescriptive confidentiality-agreement requirements be replaced with a principles-based framework.
BPI urges the FDIC and OCC to work with the Federal Reserve to align the banking agencies' CSI regulations.

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FCA Source document ↗

United Kingdom FCA Governance & Accountability ✓ 22 claims 19 Oct 2026

FCA survey of 411 corporate finance firms finds weakest spots in compliance culture

The FCA has published findings from a survey of corporate finance firms' compliance resources, flagged in its Regulatory Priorities Report. Most firms perform core compliance tasks, but the regulator wants to see more independent challenge and better-embedded compliance culture, particularly in small firms and those playing public-markets roles. If you run second-line functions in wholesale advisory firms, this sets the benchmark the FCA will apply when it engages selected firms next.

The FCA surveyed 411 corporate finance firms and received 382 responses; 47% reported carrying out all activities covered by the survey.
140 firms reported that regulatory compliance does not form part of staff performance assessments, and 90 reported no whistleblower disclosure arrangements.
82 firms each reported that compliance does not attend management body meetings and does not report at least annually to the management body.
63% of firms reported a compliance function that is not dedicated solely to compliance, and 90% used some form of third-party compliance support.
The FCA will engage selected firms further to examine the adequacy and effectiveness of their compliance resources and gaps in practice.

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SEC Press Releases Source document ↗

United States SEC Press Releases Governance & Accountability ✓ 15 claims 18 Oct 2026

SEC proposes to rescind Rule 14a-8 and modernise proxy solicitation process

The SEC has issued two proposing releases on its proxy rules under the Securities Exchange Act of 1934. One would rescind Rule 14a-8 and amend Rule 14a-4(c); the other modernises the proxy solicitation process. Comment periods run 60 days from Federal Register publication. This segment covers what each release changes and the statutory-authority argument driving the first.

The SEC proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, citing statutory authority limits and intrusion into state law.
Rescission would leave the role of shareholder proposals to state law and company governing documents.
The Commission proposed amendments to Rule 14a-4(c) on discretionary proxy voting authority.
Solicitation amendments would eliminate the annual-report delivery requirement, drop the incorporation-by-reference delivery deadline, remove Notices of Exempt Solicitation, and cut the broker search period from 20 to five business days.
Both comment periods remain open for 60 days after Federal Register publication.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 14 claims 18 Oct 2026

HMRC again amends application process for approving premises to examine goods declared for export

HMRC has amended, for the second time in three months, the process for seeking approval of premises used to examine goods declared for export under the Customs (Import Duty) (EU Exit) Regulations 2018. The notices carry the force of law. Traders and customs agents relying on approved examination sites should check the current application requirements against the latest version.

The 8 October 2026 update amends the application process for approval of premises used to examine goods declared for export.
An 8 July 2026 update introduced a revised application process requiring applications to be made electronically using the specified online form.
The notices made under the Regulations have the force of law and were first published on 31 December 2020.
A 6 February 2025 update separately changed the process for approving premises as an appropriate place for examining goods declared for export under Regulation 40(6A).

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 10 claims 16 Oct 2026

DOJ settles with Lexington, Mississippi over policing practices found unlawful in 2024

The Justice Department has reached a settlement with the City of Lexington, Mississippi and its police department following a 2024 federal findings report that identified a pattern of civil rights violations. The agreement covers fines and fees, bail practices, conflicts of interest, and use-of-force policies, and follows an investigation opened in March 2023.

The settlement follows the Department's September 26, 2024 findings report identifying a pattern or practice of civil rights violations by the Lexington Police Department.
The City and LPD will amend policies regarding fines and fees, bail and release criteria, and potential conflicts of interest.
LPD will revise its policies on stops, searches, arrests, and use of force, and update reporting and review procedures for such officer activity.
The investigation was initiated in March 2023 under 34 U.S.C. 12601 by the Civil Rights Division's Special Litigation Section and the U.S. Attorney's Office for the Southern District of Mississippi.

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UK Competition and Markets Authority Source document ↗

United Kingdom UK Competition and Markets Authority Governance & Accountability ✓ 24 claims 16 Oct 2026

CMA names Cyrus Mehta as new Competition Panel Chair after Coleman's exit

This is the CMA's continuously updated record of who sits on the independent panels that decide phase 2 markets and mergers cases. The latest entries record a change of Panel Chair and a series of member departures and appointments, information firms under CMA scrutiny use to check who will be deciding their case.

Cyrus Mehta replaced Martin Coleman as Competition Panel Chair on 18 September 2026, with biographies and interests updated accordingly.
Martin Coleman was removed from the panel entirely on 7 October 2026 at the end of his term.
Twelve new independent members were added to panel members' biographies and disclosures of interest on 1 September 2026.
Susan Hankey and Keith Richards were removed on 23 September 2026, and Juliet Lazarus was removed as a panel member on 9 September 2026, all at end of term or by removal.
Inquiry chairs are currently listed as Cyrus Mehta (Panel Chair), Kirstin Baker and Margot Daly.

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NIST Source document ↗

United States NIST Governance & Accountability ✓ 15 claims 16 Oct 2026

NIST data show fentanyl adulterants rising and shifting across U.S. regions

NIST chemists analyzed thousands of fentanyl residue samples collected nationwide to map how toxic adulterants change over time and by region. The study, run through the RaDAR program, aims to give public health officials and first responders near-real-time warning of dangerous compounds entering local drug supplies so treatment protocols can adapt accordingly.

NIST analyzed 4,563 drug residue samples collected nationwide between January 2024 and June 2026 as part of the RaDAR program.
Xylazine, a veterinary anesthetic common on the East Coast, is being replaced by medetomidine, a more potent sedative causing severe withdrawal symptoms.
BTMPS, an industrial plastics chemical that can cause eye inflammation and burning, has appeared in both eastern and western fentanyl samples since summer 2024.
Samples in early 2024 typically contained one to two additives; six or more compounds are now common.
Western U.S. fentanyl samples contain fewer additives on average but at higher concentrations than eastern samples.

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FCA Source document ↗

United Kingdom FCA Governance & Accountability ✓ 14 claims 16 Oct 2026

FCA Proposes 90-Day Minimum Notice Period for Illiquid Asset Funds

The FCA has opened a consultation on new redemption rules for authorised funds holding hard-to-sell assets like property and infrastructure. The proposal sets a 90-day minimum notice period for investor withdrawals, intended to prevent the liquidity mismatches that have previously forced fund suspensions. Compliance and product teams at authorised fund managers should review the consultation and consider how a mandatory notice floor would affect existing NURS structures.

The FCA is consulting on CP26/35, proposing fair redemption terms for authorised funds investing in illiquid assets.
Funds investing in inherently illiquid assets such as property and infrastructure would need to give investors 90 days' notice before redemption.
Existing funds would have 2 years to comply and must give investors at least 1 year's notice of the change.
The consultation applies to authorised fund managers of non-UCITS retail schemes (NURS).
The FCA is asking for feedback on the proposals by 11 December 2026.

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ADGM Abu Dhabi — announcements Source document ↗

United Arab Emirates ADGM Abu Dhabi — announcements Governance & Accountability ✓ 15 claims 16 Oct 2026

ADGM financial regulator consults on fee changes for trading venues, listed securities

The ADGM Financial Services Regulatory Authority has opened a consultation on changes to its Fees Rulebook and General Rulebook, completing a review of market infrastructure fees it deferred during an earlier assessment. Firms operating trading facilities, recognised bodies and those with listed securities should review the proposals before the comment window closes.

The FSRA published Consultation Paper No. 6 of 2026 on 9 October setting out proposed changes to the Fees Rulebook and General Rulebook.
The proposals update fees for Recognised Bodies and operators of Multilateral Trading Facilities and Organised Trading Facilities.
A new supervision fee is proposed for Securities admitted to the Official List.
The paper proposes increased fees for late Regulatory Filings and clarifies fees for varying a Financial Services Permission.
The consultation period closes on 6 November 2026, with comments submitted to fsra.consultation@adgm.com.

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Bank of England Source document ↗

United Kingdom Bank of England Governance & Accountability ✓ 15 claims 16 Oct 2026

Bank of England advisory group picks puffin, owl, hedgehog and bumblebee for next banknotes

The Bank of England's Banknote Imagery Advisory Group met on 15 July 2026 to review results of its 2026 public consultation on banknote imagery and agree a recommendation to the Governor. This short item covers which animals were chosen, the stated rationale tied to counterfeit resilience, and the process still to follow before any final decision.

BIAG's 15 July 2026 meeting reviewed a June 2026 public consultation that received nearly 500,000 responses across online survey, post, email and phone.
The group agreed to recommend the buff-tailed bumblebee, barn owl, European hedgehog and Atlantic puffin as central imagery for Series H's four denominations.
The Atlantic puffin was chosen over the fox or kingfisher, which received more selections, to bring a marine habitat into the set.
The recommendation goes to the Governor for indicative views before further engagement with the Banknote Imagery Expert Panel on depiction and habitat choices.
The Bank intends to announce the four chosen animals to the public in the Autumn, with the Governor making the final decision.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 16 claims 16 Oct 2026

HMRC lifts CWG2 car-or-van hire rate to 55p per mile in latest employer guidance update

HMRC's CWG2 is the detailed employer guide to PAYE and National Insurance for less common situations. The page carries a long-running change log, most recently updated on 15 October 2026 to revise a mileage rate. Payroll and reward teams use it to track in-year legislative and procedural changes across the current and recent tax-year versions.

The 15 October 2026 update changes the section 5.4.2 'car or van' hire rate from 44 per mile to 55 per mile in the 2026 to 2027 guide.
A new section 2.2.6 'Relevant accretions' was added to the 2026 to 2027 guide on 21 September 2026.
India was added on 7 July 2026 to the section 4.5 list of countries with which the UK has a social security agreement.
The page currently links HTML versions of the guide covering tax years 2021 to 2022 through 2026 to 2027, with the 2019 to 2020 version removed.
First published on 6 April 2014, the guide covers PAYE and National Insurance in less common employer situations.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 12 claims 16 Oct 2026

HMRC rewrites voluntary disclosure guidance to cover workers wrongly treated as self-employed

HMRC has updated its guidance on making a voluntary disclosure of unpaid tax, first published in 2016. The latest change broadens the section on how to correct errors and now addresses cases where someone should have treated a worker as an employee for tax purposes. The update sits within a long-running series of amendments to the same guide. This item sets out what the current version says and where it has moved.

The 15 October 2026 update revised the 'Ways to make a disclosure' section to cover errors to correct, information to provide, and cases where a worker should have been treated as an employee for tax purposes.
On 6 April 2026 and 7 April 2025, tax year references were updated in the 'Income Tax returns' and 'If you failed to notify HMRC that you'd started in business' sections.
Disclosure and contact postal addresses were changed on both 5 October 2026 and 8 April 2026 across several sections of the guide.
The guide was first published on 5 September 2016 and has since added disclosure routes for R&D relief claimed in error, cryptoassets and till-system misuse.

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Bank of England Source document ↗

United Kingdom Bank of England Governance & Accountability ✓ 11 claims 16 Oct 2026

Bank of England publishes David Roberts CV and questionnaire for Treasury Select Committee

The Bank of England has published David Roberts' CV and a completed questionnaire, released for the Treasury Select Committee on 15 October 2026. The material appears in connection with a reappointment. The source itself carries only the fact of publication and the date, so this item records what was disclosed rather than the substance of any hearing.

The Bank of England published David Roberts' CV and questionnaire on 15 October 2026.
The documents were published for the Treasury Select Committee.
The Bank's publication is framed in the context of a reappointment.

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ADGM Abu Dhabi — announcements Source document ↗

United Arab Emirates ADGM Abu Dhabi — announcements Governance & Accountability ✓ 10 claims 16 Oct 2026

ADGM Proposes Licensing Regime for Business Centre Operators

ADGM's Registration Authority has opened consultation on a new regulatory framework for business centre service providers, aimed at protecting tenants and ensuring continuity of premises and registered office arrangements. The paper proposes licensing conditions, capital rules and operational safeguards. Operators, company service providers and tenants have until 6 November 2026 to respond.

The RA proposes designating business centre services as a controlled activity under the Commercial Licensing Regulations.
Licensed providers would need public liability insurance, clear pricing disclosures and limits on client agreement terms.
Proposed rules include notification, wind-down and contingency planning requirements plus minimum regulatory capital.
The framework would prohibit accepting or distributing cash above a prescribed threshold.
The consultation period for Consultation Paper No. 7 of 2026 closes on 6 November 2026.

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FMA Austria Source document ↗

FMA Austria Governance & Accountability ✓ 15 claims 15 Oct 2026

FMA registers spin-off of Weilburg Family Office investment services licence to new entity

A short administrative notice from Austria's Financial Market Authority records a licence change. The investment services provider authorisation held by Weilburg Family Office GmbH has been spun off, on a proportional basis, to a newly created entity. The item covers who holds the licence now and the limits of what the notice actually tells you.

The ISP licence of Weilburg Family Office GmbH was spun off proportionally to the newly established Weilburg Invest GmbH.
The FMA recorded the change under its "Licence Change" category on 12 October 2026.
The notice states no detail on scope, conditions, rationale or client impact.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 16 claims 15 Oct 2026

HMRC publishes CT600 V3 (2027) RIM artefacts for Corporation Tax software developers

A short item for the people who actually build Corporation Tax filing software. HMRC has added the next-year CT600 artefact set and reshuffled the live and test versions. It binds no taxpayer directly but sets the technical rails for every CT600 return filed through commercial and in-house software. Here is what moved and what to watch on the implementation status.

CT600 V3 (2026) Artefacts V1.995 was renamed to CT600 V3 (2027) Artefacts V1.995 on 12 October 2026.
V1.995 (version date 25 September 2026) is awaiting implementation into LTS, TPVS and live.
CT600 V3 (2026) Artefacts V1.994 and CT600 V2 (2009) Artefacts V3.99 are currently in LTS, TPVS and live.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 21 claims 15 Oct 2026

HMRC winds down VAT Notice 700/56, migrating insolvency rules to practitioner's handbook

HMRC's VAT Notice 700/56, the reference for insolvency practitioners appointed over VAT-registered businesses, is being progressively dismantled and replaced by a new Insolvency practitioner's handbook. The 12 October 2026 update strips out cash accounting guidance. For office holders who rely on this notice for dividends, Crown set-off, VAT grouping and PAYE on straddling payments, the practical question is where the authoritative text now lives.

The 12 October 2026 update removed section 11 cash accounting content, replacing it with a link to the Insolvency practitioner's handbook.
Sections 1, 2, 3, 4, 5, 6, 7, 10, 15, 17, 18 and 23 have already been migrated to the handbook across 2026 updates.
HMRC states set-off enquiries will not usually be initiated for credits below £250, and Crown set-off will not apply where a credit is secured by a valid fixed charge.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 22 claims 15 Oct 2026

HMRC to auto-enrol unregistered taxpayers into Making Tax Digital from September 2026

HMRC has updated its Making Tax Digital for Income Tax guidance to confirm mandation from April 2026 and a backstop: from September 2026 the department will sign up those who qualify but have not enrolled themselves. For advisers and in-house finance teams handling sole trader and landlord clients, the update sets the eligibility test, the identity checks and the penalty position for the first year.

Mandatory from 6 April 2026 for those whose total self-employment and property income exceeds £50,000, based on the prior year's tax return.
From September 2026 HMRC will auto-enrol qualifying taxpayers who have not signed up, using only data it already holds.
No penalty points for late quarterly updates in 2026-27, but penalties still apply to late tax returns and late payment.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 21 claims 15 Oct 2026

HMRC warns alcohol duty paid with wrong reference may be used to settle other tax bills

HMRC has refreshed its guidance on paying Alcohol Duty for approved alcoholic products producers. The latest change, dated 13 October 2026, spells out what happens when a payment carries the wrong reference number. The page also covers payment deadlines, Direct Debit limits, late-payment interest and the full set of accepted payment channels. Short, operational, and relevant to anyone managing duty settlement.

Using the wrong reference (format XA123456789012) may delay payment or route it to another tax bill; HMRC can move it on request.
Duty on the online return must clear by the 25th of the month; late payment triggers interest and possibly a penalty.
Direct Debit cannot be used for payments over £20 million, and cannot collect interest or penalty charges.
category
governance

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 20 claims 15 Oct 2026

HMRC changes bank-transfer payment reference for One Stop Shop VAT returns

HMRC has revised its guidance on paying VAT due under the One Stop Shop scheme, updating the bank-transfer payment reference and spelling out what happens when traders quote the wrong one. The changes are administrative but directly affect whether a payment lands on time and against the right liability, which matters for firms at risk of exclusion from the scheme.

The bank-transfer payment reference for OSS VAT returns was updated on 14 October 2026.
A wrong reference may delay payment, settle a different tax bill, or trigger a payment reminder; traders can email HMRC to move it.
Returns and full payment are due by the last day of the month after each quarter; late payment risks scheme exclusion, penalties or interest.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 18 claims 15 Oct 2026

HMRC refreshes VAT guidance on recovering input tax for financial exports to the EU

HMRC has updated its transitional guidance on the VAT treatment of specified supplies of finance and insurance services. The substance dates to the Brexit change that extended input tax recovery to EU customers from 11pm on 31 December 2020. This segment walks through what still binds banks, insurers, investment managers and brokers, and what the October 2026 edit actually removed.

The 13 October 2026 update only removed out-of-date EU Exit Transitional Provisions from the overview; the post-Brexit recovery rules are unchanged.
Since 11pm on 31 December 2020, the SSO allows input tax recovery on specified supplies to EU customers, via SI 2020/1545 regulations 91 and 92.
Amended regulation 102(2A) means previously approved PESMs are read in line with the revised SSO, avoiding the need to apply for a new method.
Insurers may continue using their current VAT accounting approach to determine the tax point for premiums under Section 6 VATA 94.

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OCC Bulletins Source document ↗

United States OCC Bulletins Governance & Accountability ✓ 15 claims 15 Oct 2026

US agencies propose to replace interagency third-party risk guidance with a risk-tailored approach

Four US banking agencies have jointly proposed guidance that would revise and replace their existing third-party risk management expectations. The pitch is calibration: align oversight to the risk of each relationship rather than treating every vendor as high-risk. This segment covers what the proposal changes, who it would bind, the comment window, and why the non-enforceable framing matters for examiners and banks alike.

Proposed interagency guidance would revise and replace existing third-party risk management guidance across the OCC, Federal Reserve, FDIC and NCUA.
The guidance would not set enforceable standards or prescriptive requirements, and non-compliance would not result in supervisory action.
Comments are due 60 days from publication in the Federal Register; the guidance would apply to community banks when final.

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SEC Press Releases Source document ↗

United States SEC Press Releases Governance & Accountability ✓ 11 claims 15 Oct 2026

SEC exempts broker-dealer and swap intermediary forms from Inline XBRL rules

The SEC has rolled back part of its own December 2024 Inline XBRL expansion, exempting a defined set of intermediary filings from machine-readable tagging. This segment covers which forms are affected, what remains in scope, and the Commission's stated rationale of cutting compliance cost without reducing investor protection.

Relief applies to Form CA-1 (except Exhibit H), Form 1 (except Exhibit I), Form X-17A-5 Part III, Form 17-H, and SBS dealer annual compliance reports.
The exempted requirements were originally adopted on December 16, 2024; Exhibit H and Exhibit I remain in scope.
Chairman Atkins said the order reduces compliance costs without sacrificing investor protection, citing immaterial gains in data accessibility.

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SEC Press Releases Source document ↗

United States SEC Press Releases Governance & Accountability ✓ 14 claims 15 Oct 2026

SEC Division of Examinations publishes new exam handbook replacing prior brochure

The SEC's Division of Examinations has released a new handbook describing how registrants are examined, from risk assessment through to the disposition letter. It replaces and expands the division's previous examination brochure. For compliance teams that face SEC exams, the document sets out what the division says registrants should expect at each stage and how to engage with examiners.

The Division of Examinations published "The SEC Exam Handbook: A Practical Guide on Process and Engagement" on October 1, 2026, replacing the previous examination brochure.
The handbook covers each stage of an exam, from the risk assessment process through to the disposition letter.
It provides several avenues for registrants to give feedback or ask questions, along with practical tips and resources to prepare for an exam.
Chairman Paul S. Atkins and Division Director Keith Cassidy framed the handbook as answering registrant requests for greater clarity and predictability.

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CFTC — Commodity Futures Trading Commission Source document ↗

United States CFTC — Commodity Futures Trading Commission Governance & Accountability ✓ 12 claims 15 Oct 2026

CFTC adopts 30% presumption for whistleblower awards of $5 million or less

The CFTC has finalised a rule creating a rebuttable 30 percent presumption for whistleblower awards at or below $5 million, aligning its framework with the SEC's. This segment covers what the presumption changes for claims processing, how much discretion the Commission retains, and why the agency frames it as cross-agency harmonisation worth a few minutes of attention.

A 30 percent presumption applies to whistleblower awards of $5 million or less, subject to Commission discretion and its analysis of relevant regulatory factors.
The rule is modelled on the SEC's rule 21F-6(c), which the CFTC frames as advancing harmonisation between the two agencies.
The final rule takes effect 30 days after publication in the Federal Register.

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Financial Stability Board Source document ↗

Global Financial Stability Board Governance & Accountability ✓ 12 claims 15 Oct 2026

FSB review finds its own policy drafting contributes to uneven G20 reform implementation

The FSB's second Implementation Monitoring Review report turns the lens inward, asking whether the way it develops, drafts and presents post-crisis reforms affects how well they are implemented. It concludes national circumstances dominate but the policy process itself matters in a number of cases. For anyone who tracks FSB standards into national rulebooks, this signals where the body may recalibrate how it writes the next generation of reforms.

Second report under the G20 Implementation Monitoring Review, a strategic review led by Randal K. Quarles at the G20's request.
Finds national circumstances are the main driver of uneven implementation, but the FSB's own policy development process contributes in some cases.
Points to targeted, well-calibrated reform of the policy development process as one element in improving implementation.

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Financial Stability Board Source document ↗

Global Financial Stability Board Governance & Accountability ✓ 14 claims 15 Oct 2026

FSB consults on eight principles for modernising financial regulation and supervision

The Financial Stability Board has opened consultation on eight high-level principles meant to keep regulatory and supervisory frameworks forward-looking without eroding resilience. Alongside it sits the 2026 G20 Implementation Monitoring Review, which concedes that some of the uneven uptake of agreed standards stems from how the FSB drafts and presents policy. This segment covers what both documents say and the deadline that matters.

Eight high-level modernisation principles are open for comment until 8 January 2027, with a final report due in the first half of 2027.
Principles rest on four premises, including that they build on the commitment to implement internationally agreed standards and aim to preserve or enhance resilience.
The 2026 IMR traces part of uneven implementation to the FSB's own policy development process, following 2025 findings of a worrisome slowdown.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 19 claims 14 Oct 2026

HMRC updates Air Passenger Duty payment guidance on wrong reference numbers

HMRC has refreshed its operational guidance on paying Air Passenger Duty. The headline change is a warning on payment reference discipline, alongside restated deadlines, payment channels and account details. It is administrative rather than a change to duty rates or liability, but it affects how airlines and occasional operators discharge their APD obligations and avoid penalties or interest.

Using an incorrect 15-character reference (starting with X) may delay a payment or apply it to another tax bill; payers can email APDHelpdesk@hmrc.gov.uk to move it.
Payment deadlines are extended by seven calendar days for Direct Debit, Faster Payments, CHAPS and Bacs; Occasional Operator Scheme users pay within seven days of the flight.
Payments over £20 million cannot be made by Direct Debit, and a return must be submitted even where there is nothing to pay.
Occasional Operator Scheme payers cannot use Direct Debit and must contact HMRC for a reference number.

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