Resources featuring Mike Marmo

Transparency, enforcement, and what’s ahead

This January edition of the RegTech Report focuses on several themes shaping the early regulatory agenda for the year:

• the evolving UK shareholder disclosure landscape and what firms should be watching 
  in 2026;
• insights from global regulatory enforcement actions, highlighting where supervisory scrutiny continues to concentrate; and
• a forward-looking perspective on the U.S. regulatory environment, examining how governance, technology, and accountability expectations are converging.

We also highlight recent developments in the UK’s Consumer Composite Investments (CCI) regime, with a link to our full analysis published in December.

2026 U.S. regulatory outlook: From rulemaking to regulatory validation

Closing out 2025: A year of transition, transparency, and transformation

As 2025 draws to a close, the regulatory landscape for global asset managers has continued to evolve. From shifting disclosure regimes to heightened expectations on governance, liquidity, and transparency, this year has marked a notable turning point in how firms operate, report, and manage regulatory obligations. At Confluence® Technologies, we’ve followed the major developments closely—from the […]

From settlement speeds to strategic supervision: Regulation in transition

Introduction November’s regulatory developments reflect a continued recalibration of global supervision—faster markets, evolving consumer protections, and continuing regulatory attention on operational resilience. Europe is preparing for a move to T+1 settlement, expected to enhance efficiency but likely to test readiness across post-trade processes. In the UK, the FCA is refining both its MiFID organizational rules and the […]

Regulation in motion: Preparing for disclosure, oversight, and data-led supervision

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

Global compliance moves in focus: From FCA signals to AI and beyond

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

Regulatory reform in focus: Preparing for the next wave of simplification

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.