<?xml version="1.0" encoding="UTF-8"?><rss xmlns:dc="http://purl.org/dc/elements/1.1/" xmlns:content="http://purl.org/rss/1.0/modules/content/" xmlns:atom="http://www.w3.org/2005/Atom" version="2.0"><channel><title><![CDATA[Complylens]]></title><description><![CDATA[Empowering compliance and finance industries with innovative Risk Assessment SaaS solutions.]]></description><link>https://ankurmehta80.wixsite.com/complylens/blog</link><generator>RSS for Node</generator><lastBuildDate>Thu, 07 May 2026 11:28:13 GMT</lastBuildDate><atom:link href="https://www.complylens.com/blog-feed.xml" rel="self" type="application/rss+xml"/><item><title><![CDATA[FCA Findings and BWRA Best Practice]]></title><description><![CDATA[Introduction: The Regulatory Imperative The Financial Conduct Authority (FCA) recently published the findings from its multi-firm review of financial crime risk assessment processes and controls. This review serves as a crucial reminder: the Business-Wide Risk Assessment (BWRA)  is not merely a documentation exercise; it is the legal and operational foundation  of a firm's entire anti-financial crime framework under the Money Laundering Regulations 2017 (MLR 2017) . A meaningful BWRA allows...]]></description><link>https://www.complylens.com/post/fca-findings-and-bwra-best-practice</link><guid isPermaLink="false">6941e59e1879721f4338a1d0</guid><pubDate>Wed, 26 Nov 2025 00:00:00 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_cdcb7ab39cb946578e23eaf0c1a31286~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[Decoding Market Abuse: The Jane Street &#38; SEBI Case]]></title><description><![CDATA[In a significant move that has resonated across the global financial community, the Securities and Exchange Board of India (SEBI) has brought a high-profile market abuse case against the global quantitative trading firm, Jane Street. The case, which is still under investigation, serves as a reminder of how regulatory bodies are adapting their oversight to the complexities of modern, algorithmic trading. The Allegations: Manipulation on Expiry Days At  the core of SEBI's allegations is the...]]></description><link>https://www.complylens.com/post/decoding-market-abuse-the-jane-street-sebi-case</link><guid isPermaLink="false">6941e2417aecebf9ca3e17b4</guid><pubDate>Wed, 13 Aug 2025 23:00:00 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_6db9672a11bb440cbc189bf72a12560e~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[Strengthening Compliance Risk Management in the Age of AI]]></title><description><![CDATA[The landscape of financial crime prevention is evolving rapidly and artificial intelligence (AI) is at the center of that transformation....]]></description><link>https://www.complylens.com/post/complylens-revolutionizing-compliance-in-tech-with-saas-solutions</link><guid isPermaLink="false">68415abc78d43e8b9e05e421</guid><pubDate>Thu, 05 Jun 2025 08:52:12 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_036f0a3482a641118b6b9045568a5533~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[UK 2025 Fraud Report Signals Ongoing Risk Management Gaps]]></title><description><![CDATA[UK Finance  has released its  Annual Fraud Report 2025 , offering a detailed view of fraud trends across the UK’s financial sector. In...]]></description><link>https://www.complylens.com/post/how-complylens-is-redefining-risk-management-for-financial-institutions</link><guid isPermaLink="false">68415abc78d43e8b9e05e422</guid><pubDate>Thu, 05 Jun 2025 08:52:12 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_ebf4a42ec7bc497fb0a9575a30b80821~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[UK's Failure to Prevent Fraud - comes into force on 1 September 2025]]></title><description><![CDATA[Introduction The Economic Crime and Corporate Transparency Act (ECCT) introduces significant changes to corporate criminal liability in the UK, including a new  “Failure to Prevent Fraud”  offence. Coming into force on  1 September 2025 , this law will require companies to take proactive steps to prevent fraud within their organisations, or face criminal liability. One of the key compliance measures businesses must implement is a  Fraud Risk Assessment . This assessment ensures firms...]]></description><link>https://www.complylens.com/post/uk-s-failure-to-prevent-fraud-comes-into-force-on-1-september-2025</link><guid isPermaLink="false">6941e19e4d149c1676cfe674</guid><pubDate>Mon, 10 Mar 2025 00:00:00 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_1ad26413a1544e6eaccd91efa82632fa~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[Granularity in Market Abuse Risk Assessment]]></title><description><![CDATA[Introduction I recently spoke with a multinational bank's Chief Compliance Officer (CCO). His organization is involved in a wide range of financial instruments across various jurisdictions and has improved its monitoring of market abuse risks by adopting a detailed approach to the annual Market Abuse Risk Assessment (MARA) process. In the past, they operated an enterprise-level MARA, but over the years, they increasingly focused on a more detailed assessment of business units. Their current...]]></description><link>https://www.complylens.com/post/granularity-in-market-abuse-risk-assessment</link><guid isPermaLink="false">6941de2d4d149c1676cfdf34</guid><pubDate>Thu, 07 Nov 2024 00:00:00 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_8ed1e0ac4af945a58eb910040edf60bf~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[The Crucial Role of Advanced Dealing Inventory in Market Abuse Risk Assessment]]></title><description><![CDATA[With stringent regulations enforced by authorities such as the FCA and SEC, understanding firm-wide risks has never been more critical. Compliance teams face mounting pressure to effectively manage and mitigate risks associated with market abuse. Keeping a dealing inventory has proven indispensable for ensuring compliance and managing risks. In my experience and over two decades of experience as a compliance professional, maintaining a robust dealing inventory is one of the most effective...]]></description><link>https://www.complylens.com/post/the-crucial-role-of-advanced-dealing-inventory-in-market-abuse-risk-assessment</link><guid isPermaLink="false">6941d9dc7aecebf9ca3e066f</guid><pubDate>Wed, 23 Oct 2024 23:00:00 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_b4e84a7bfe364813b0481f1e5b5ab140~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[Recordkeeping Failures Lead to Significant Fines for 26+ Firms – A Wake-Up Call for Robust Risk Management]]></title><description><![CDATA[This week, the U.S. financial regulators, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), imposed substantial fines on over 26 firms for failing to comply with recordkeeping requirements. These penalties serve as a stark reminder of the critical importance of maintaining robust recordkeeping practices in today’s stringent regulatory environment. The Regulatory Crackdown The SEC’s enforcement actions targeted a wide range of financial...]]></description><link>https://www.complylens.com/post/recordkeeping-failures-lead-to-significant-fines-for-26-firms-a-wake-up-call-for-robust-risk-mana</link><guid isPermaLink="false">6941d6364d149c1676cfce0e</guid><pubDate>Fri, 16 Aug 2024 20:59:55 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_21c049b5301a4d6c847a1d03ba196077~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[Market Abuse Risk Assessments: Why They Matter]]></title><description><![CDATA[Introduction In the ever-evolving landscape of financial markets, the importance of robust market abuse risk assessments (MARA) cannot be overstated. Financial institutions are under increasing scrutiny from regulators to ensure that their trading practices are compliant with stringent regulations aimed at preventing market abuse, including insider trading, market manipulation, and other forms of misconduct. Conducting a thorough and effective MARA is not only a regulatory necessity but also...]]></description><link>https://www.complylens.com/post/market-abuse-risk-assessments-why-they-matter</link><guid isPermaLink="false">6941d4f81879721f4338801d</guid><pubDate>Wed, 31 Jul 2024 20:56:14 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_5bb3eefacb7440789b48de71d7ea9b05~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[Enhancing Market Abuse Surveillance: Reflections on FCA Market Watch 79]]></title><description><![CDATA[The latest publication of FCA Market Watch 79 sheds light on critical issues surrounding market abuse surveillance and data governance. As specialists in market abuse surveillance, we at ComplyLens have closely analyzed the findings and recommendations of this edition. Here, we offer our reflections and insights on how firms can enhance their surveillance systems to mitigate risks effectively. Overview of FCA Market Watch 79 Market Watch 79 highlights the persistent challenges faced by firms...]]></description><link>https://www.complylens.com/post/enhancing-market-abuse-surveillance-reflections-on-fca-market-watch-79</link><guid isPermaLink="false">6941d0bb031fac87aaa283aa</guid><pubDate>Tue, 28 May 2024 20:41:15 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_2072a942b5cf43ea9be6ef805cb44c31~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item><item><title><![CDATA[ESMA MiCA third consultation paper: a deep-dive into proposed market abuse requirements for crypto-assets]]></title><description><![CDATA[TL:DR – the proposed market abuse rules for crypto-assets under MiCA are based heavily on the existing TradFi rules set out in MAR. Potential challenges facing crypto firms operating in the EU include: the expansive scope of Persons Professionally Arranging or Executing Transactions (PPAETs); prohibition of certain business practices (e.g. MEV); and difficulty attributing responsibility for STOR submission. Introduction to the Third Consultation Paper The European Securities and Markets...]]></description><link>https://www.complylens.com/post/esma-mica-third-consultation-paper-a-deep-dive-into-proposed-market-abuse-requirements-for-crypto-a</link><guid isPermaLink="false">6941ccb14d149c1676cfba8c</guid><pubDate>Mon, 20 May 2024 20:28:14 GMT</pubDate><enclosure url="https://static.wixstatic.com/media/3b245d_d586d98c07fd4fce8c56cc6a4ea8eee0~mv2.png/v1/fit/w_1000,h_1000,al_c,q_80/file.png" length="0" type="image/png"/><dc:creator>Ankur Mehta</dc:creator></item></channel></rss>