People & partnerships
OANDA names Joanna Wilcox global compliance chief as UK directorship is filed
The broker confirms a worldwide compliance leadership appointment; the change does not by itself alter a customer’s licensed entity or protections.
Compliance
The companies, products and regulatory developments shaping the broker industry.
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Regulation & enforcement
FinCEN and Federal Reserve abandon proposed lower threshold for cross-border transfer records
The regulators withdrew a proposal to change the US funds-transfer Recordkeeping and Travel Rules, an important distinction from repealing the rules already in force.
Regulation & enforcement
UK FCA finalises ESG-ratings rulebook, setting June 2027 application window and 2028 start
The FCA now has final rules for ESG ratings providers; it is regulating methodology governance and disclosures rather than prescribing an ESG score.
Regulation & enforcement
Canadian regulator proposes 60-day dealer complaint decisions, with extra 30 days for complex cases
CIRO proposes reducing the current 90-day standard for dealers while retaining a documented exception and seeking feedback until January 2027.
Regulation & enforcement
SEBI proposes mandatory AML certification for securities-market principal officers
The regulator is consulting on a prescribed NISM examination and a six-month compliance period. The proposal concerns the designated principal officer role, rather than every compliance employee.
Products & pricing
Swift's 14 November address-format deadline puts FX and securities payments at risk of rejection
CBPR+ messages must carry town and country in designated fields; the change affects brokerage payment operations but not trading order protocols.
Regulation & enforcement
NYSE restores omitted clause in associated-person definition
NYSE has corrected Rule 2(c) to restore coverage of persons engaged in a securities or kindred business controlled by a member or member organisation, saying the omission conflicted with its stated intention to preserve existing jurisdiction.
Regulation & enforcement
Nasdaq sets 14 November start for wider disciplinary disclosure
Nasdaq will publish complaints and a broader set of decisions, removing a $10,000 sanction threshold. Complaints must be labelled as unadjudicated allegations.
Regulation & enforcement
SEC examination handbook clarifies three different response clocks
The new process guide separates the disposition-letter deadline from a firm’s typical response period and staff’s target for further comments. The 180-day clock does not run from the start of an examination.
Regulation & enforcement
FSMA reports 41 AML injunctions and asks Belgian brokers to assess their controls
The sector report says inspected firms completed remediation by June 2026; wider in-scope firms are expected to review their own arrangements.
Regulation & enforcement
SEC approves conditional FINRA return projections; effective date remains pending
The approved Rule 2210 exception requires audience controls, disclosures and source records. FINRA still lists the change as awaiting an effective date.
Regulation & enforcement
ASIC expands breach dashboard as initial reports decline 4%
The 2025–26 figures give brokers a broader comparison of reported problems. Reporting relief, overlapping licence categories and subsequent revisions affect how the totals should be interpreted.
Regulation & enforcement
FCA survey puts corporate-finance compliance authority under scrutiny
Responses from 382 firms make compliance access to commercial decisions a live supervisory issue for corporate advisers and brokers.
Regulation & enforcement
New Zealand FMA proposes wider complaints and continuity conditions for licensees
A consolidated set of licence conditions would bring derivatives issuers into common complaints requirements and make approval of continuity plans explicit.
Products & pricing
Mastercard adds pre-settlement risk intelligence as stablecoin payment infrastructure expands
Stablecoin Security combines blockchain and payment information before funds move, helping institutions decide whether to release or review a payment. It launches first in North America, with wider commercial availability expected in 2027.