By Compli-Serve
As the year enters its final stretch, several critical compliance obligations and public consultation windows require the attention of financial services providers, accountable institutions and other regulated entities. Below is a practical round-up of the most relevant items as at 4 November 2026.
Immediate and Approaching Deadlines
FSCA ...
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By Compli-Serve
Financial services providers (FSPs) are reminded that the 2026/2027 FAIS annual levies must be paid by 30 November 2026. Levy invoices were scheduled for distribution from the end of October, using the contact details recorded with the Financial Sector Conduct Authority (FSCA). FSPs that have not yet ...
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The Volkov Group reports that a growing trend among US corporations to reduce compliance budgets, streamline compliance teams and diminish the influence of chief compliance officers could expose businesses to substantial regulatory and financial risks. The warning follows enforcement actions announced on 13 October 2026 against Bank of America, resulting ...
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By Lee Rossini
Key performance indicators (KPIs) are specific metrics used by businesses to assess how effectively they are achieving their strategic and operational objectives. They translate business goals into measurable outcomes, enabling managers to monitor performance, identify areas for improvement and make informed decisions. In financial services, where profitability, client trust, regulatory compliance and risk management are essential, KPIs provide an important framework for measuring success.
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