Blog

As enforcement tightens, DORA compliance in 2026 shifts from paperwork to proof. Regulators now expect real-time, data-driven resilience, backed by automated supervision, tougher fines and personal accountability for digital risk.

As enforcement tightens, DORA compliance in 2026 shifts from paperwork to proof. Regulators now expect real-time, data-driven resilience, backed by automated supervision, tougher fines and personal accountability for digital risk.

As enforcement tightens, DORA compliance in 2026 shifts from paperwork to proof. Regulators now expect real-time, data-driven resilience, backed by automated supervision, tougher fines and personal accountability for digital risk.

Operational resilience in RegTech goes beyond dashboards and workflows. As DORA reshapes expectations, infrastructure sovereignty (full control over security, resilience, and recovery) has become a critical compliance differentiator.

As of today, the new UK EMIR validation rules and XML schemas are officially in force. This update represents something deep: the Financial Conduct Authority’s (FCA) transition toward a "zero-tolerance" model for data quality.

For years, shareholding disclosure has been a linear exercise: calculate capital ownership, check against a static threshold, and report at set intervals. But a structural turning point is coming.

Japan is about to implement one of its most consequential updates to the shareholding disclosure regime in decades. Taking effect 1st May 2026, the reform significantly expands what must be disclosed, how thresholds are calculated, and which investment structures fall into scope.

The publication of the FCA's Consultation Paper (CP) 25/32 (Improving the UK transaction reporting regime), marks a definitive shift towards smarter, proportionate, and more competitive regulation.

The U.S. Securities and Exchange Commission (SEC) has signalled a clear shift in its Fiscal Year 2026 Examination Priorities: its scrutiny of Investment Advisers' Compliance Programs will be surgical, focusing on areas where basic, preventable errors persist.

The UK Short Selling Regulation (UK SSR) is poised for a significant overhaul. While the existing framework remains active, the FCA’s release of Consultation Paper CP25/29 on 28 October 2025 signals an imminent, high-certainty transition to the Short Selling Regulations 2025 (SSR 2025).

The UK EMIR Refit mandated radical technical shifts aimed at greater market transparency. Yet, the FCA’s recent Market Watch 84 delivers a stark post-implementation reality check, confirming that the root problem is not merely technical, but a systemic failure of governance and operational frameworks within the financial sector.

Recent developments from the U.S. Court of Appeals for the Fifth Circuit have provided some clarity on the path forward for the SEC’s short-sale transparency rule, often known as Rule 13f-2 or Form SHO. The court's decision sent the rule back to the SEC for additional economic analysis but, crucially, did not vacate it. This means the rule remains in effect, and the clock is still ticking.

In an era of growing regulatory scrutiny, financial firms are under increasing pressure to deliver accurate, timely, and multi-jurisdictional transaction reports. At AQMetrics, we’ve built a reputation for simplifying this complexity through our Centre of Excellence for Transaction Reporting.

The U.S. Securities and Exchange Commission (SEC) introduced its new platform called EDGAR Next last March. This update is designed to improve security, streamline account management, and make the filing process more efficient. So what is changing, when and what do you have to do?

The July AIFMD Annex IV reporting deadline has passed, and for many AIFMs across Europe and the UK, the pressure drops as another regulatory hurdle has been cleared. But a deeper question (re)emerges: was this process truly efficient, or did it expose underlying challenges that will resurface with the next reporting cycle?

The SEC’s new Form N-PX rules revealed unexpected operational, technical, and governance challenges for investment managers in 2024. In this blog, Paul Chung outlines key lessons and urges firms to prioritise data quality, XML automation, and strategic oversight ahead of the August deadline.

FCA's Market Watch 82 pushes firms for robust UK MiFID transaction reporting. Remediation, back-reporting, and breach notifications are under scrutiny. AQMetrics, an ESMA and FCA-authorised DRSP, delivers regulated ARM services, giving your firm the assurance and transparency needed for seamless compliance.

At AQMetrics, we believe it’s time to move beyond reactive compliance. We're excited to announce the release of our latest whitepaper, diving deep into our transformative Global Shareholding Disclosure (GSD) Engine, powered by Agentic AI.

Poll insights highlight the growing role of agile third party providers in compliance transformation.

Regulatory divergence between UCITS and AIFMD, accelerated by the upcoming AIFMD II, poses increasing complexity for Luxembourg fund managers, demanding stronger data governance, automation, and cross-regime reporting capabilities. As compliance requirements grow more distinct, operational readiness and consistent regulatory reporting have become critical for firms managing both fund types.