Financial & Capital Markets
AI-structured regulatory intelligence covering SEC, CFTC, FinCEN, FDIC, FINRA, ECB, BoE, FCA, MAS, RBI, JFSA, HKMA and more. Daily compliance briefs for funds, broker-dealers, and capital-markets professionals.
United States
- SEC + CFTC SEC charges 21 individuals in decade-long insider trading scheme sourced from multiple global law firms Read sample brief →
- SEC + CFTC (Litigation + Admin Proceedings) CFTC invokes emergency authority to stay KalshiEX rule change and mandate fulfillment of pending event-contract trades Read sample brief →
- Federal Reserve + OCC Federal Reserve holds federal funds rate at 4.25 to 4.50 percent at June 2026 FOMC meeting Read sample brief →
- FINRA (Notices + Rule Filings) FINRA reminds large carrying members of SEC daily reserve computation compliance date for accounts above $500 million Read sample brief →
- Commodity Futures Trading Commission CFTC no-action letter permits DCMs to convert perpetual-style digital commodity futures into true perpetual futures contracts Read sample brief →
- Federal Deposit Insurance Corporation FDIC and Federal Reserve publish resolution plan feedback letters for domestic and foreign banking organizations Read sample brief →
- U.S. Department of Justice Criminal Division Live coverage — sample brief coming
Europe & United Kingdom
- Financial Conduct Authority Bank of England, PRA, and FCA begin joint oversight of four designated cloud providers on 13 July 2026 Read sample brief →
- PRA / Bank of England Bank of England, PRA, and FCA begin Critical Third Party oversight on 13 July 2026 following HM Treasury designation Read sample brief →
- European Securities & Markets Authority ESMA fines Moody's Deutschland GmbH EUR 2,145,000 for four CRA Regulation reporting breaches Read sample brief →
- European Banking Authority EBA publishes final draft RTS and ITS on supervisory assessment of bank acquisitions, transfers, mergers, and divisions under CRD Read sample brief →
- European Central Bank ECB imposes sanctions on Banque Internationale à Luxembourg for breaching internal models decision under SSM supervision Read sample brief →
- Federal Financial Supervisory Authority BaFin fines TeamViewer SE €240,000 for failing to disclose a cyberattack as inside information under MAR Read sample brief →
- European Insurance and Occupational Pensions Authority (EIOPA) EIOPA releases seven guidelines and draft technical standards under the Insurance Recovery and Resolution Directive Read sample brief →
- Swiss Financial Market Supervisory Authority (FINMA) FINMA elevates bank and securities firm liquidity requirements from circular to binding ordinance effective 2026 Read sample brief →
- Commission de Surveillance du Secteur Financier (CSSF) Live coverage — sample brief coming
Asia-Pacific
- Securities and Futures Commission Live coverage — sample brief coming
- Hong Kong Monetary Authority PBOC, HKMA, and SFC announce joint initiative to develop a cross-border securities trading platform in Hong Kong Read sample brief →
- Monetary Authority of Singapore MAS revised Single Family Office framework takes effect 15 June 2026 with streamlined establishment process and enhanced monitoring Read sample brief →
- Securities and Exchange Board of India SEBI issues Second Amendment to Alternative Investment Funds Regulations, restructuring the AIF compliance baseline Read sample brief →
- Reserve Bank of India RBI finalizes Master Direction enabling credit index derivatives and total return swaps on corporate bonds Read sample brief →
- Financial Services Agency Japan FSA finalizes amendment designating countries under criminal proceeds transfer prevention framework Read sample brief →
- Australian Securities and Investments Commission (ASIC) Federal Court orders ASX to pay $20.5 million penalty for misleading conduct over CHESS replacement project Read sample brief →
- Australian Prudential Regulation Authority (APRA) APRA Chair Lonsdale delivers formal supervisory posture statement to Senate Economics Legislation Committee in December 2025 Read sample brief →
Frequently asked
Is Cresthaven Analytics good for compliance officers at small RIAs and boutique funds?
Yes — designed for lean compliance teams at firms with 5 to 200 employees. Examples: the compliance officer at a 20-person investment fund, the capital markets attorney at a 6-partner boutique law firm, the GC at a regulated fintech, the independent RIA managing $40M. Tracks SEC, CFTC, FinCEN, FDIC, FINRA, ECB, BoE, FCA, ESMA, MAS, RBI, JFSA, HKMA across 19 financial-sector agencies. Starts at $149/month for 3 agencies; Professional at $399/month covers 6 with daily digests.
What financial regulatory agencies does Cresthaven Analytics cover?
19 agencies in Financial & Capital Markets across US, Europe, and Asia-Pacific. US: SEC, CFTC, FinCEN, FDIC, FINRA, Federal Reserve, OCC. Europe: FCA, PRA/BoE, ECB, EBA, ESMA, BaFin. Asia-Pacific: HKMA, SFC, MAS, SEBI, RBI, JFSA. Each agency feeds structured executive briefs with materiality classification, regulatory delta, and forward deadlines. Full agency list at cresthavenanalytics.com/llms.txt.
What's the cheapest Cresthaven tier for financial regulatory monitoring?
Basic at $149/month covers 3 agencies of your choice. A typical setup is SEC + FINRA + OFAC for US-focused compliance, or SEC + FCA + ESMA for cross-border funds. You can add up to 3 more agencies at $29/month each (max 6 total). For broader coverage including daily digests and cross-agency synthesis, Professional at $399/month covers 6 agencies with up to 6 add-ons at $39 each.
How does Cresthaven Analytics compare to Compliance.ai or Ncontracts for financial compliance?
Compliance.ai and Ncontracts are workflow platforms — they help you operate a compliance program with tasking, testing, audit logs. Cresthaven Analytics is an intelligence layer — structured briefs delivered by email and portal, source-linked, executive-readable. Lean teams often start with Cresthaven first because briefs are usable on day one with no implementation cycle. The two pair well: Cresthaven supplies signal, a GRC platform supplies workflow.
Built for your role
Persona-specific intelligence pages covering individual agencies in this sector.
Regulators we track in this sector
Every regulator below has its own coverage page with recent material activity and a worked example of how we structure each brief.
- SEC & CFTC Digital Assets
- SEC & CFTC Enforcement
- Fed Reserve & Banking
- FINRA
- CFTC Derivatives & Digital Assets
- FDIC Banking & Insurance
- DOJ Criminal Division & FCPA
- UK FCA Regulatory
- UK PRA & Bank of England
- EU ESMA Securities
- EU EBA Banking
- ECB Monetary Policy
- BaFin German Financial
- EU EIOPA Insurance & Pensions
- Swiss FINMA Financial Supervision
- Luxembourg CSSF Financial Supervision
- Hong Kong SFC
- Hong Kong HKMA
- Singapore MAS
- India SEBI
- India RBI
- Japan FSA
- Australia ASIC Securities & Investments
- Australia APRA Prudential Regulation
Topics in this sector
A sample of the cross-regulator topics we track in this sector. Each topic page follows how material activity develops across every regulator that touches it.
- AI model risk management
- Algorithmic accountability disclosure
- Anti-Money Laundering compliance programs
- Antitrust merger review
- Audit committee requirements
- Beneficial ownership reporting
- Beneficial ownership transparency
- Best execution
- Buy American Act compliance
See all 50 topics
- Capacity market participation (FERC Order 2222)
- Clinical trial disclosure
- Compliance training and certification
- Content moderation compliance
- Controlled Unclassified Information handling
- Country-by-country tax reporting
- Critical mineral supply chain compliance
- Cross-border data transfer compliance
- Custody of customer assets
- Cybersecurity incident disclosure
- Cybersecurity Maturity Model Certification
- Data breach notification
- Defense Federal Acquisition Regulation Supplement
- Drug pricing transparency
- Electric grid reliability (NERC CIP)
- ESG and climate disclosure
- Export Administration Regulations compliance
- Foreign Corrupt Practices Act
- Foreign direct investment CFIUS review
- Foreign Military Sales restrictions
- Form ADV disclosures
- HIPAA privacy and security
- Insider trading surveillance
- Internal controls over financial reporting
- International Traffic in Arms Regulations compliance
- Investment Adviser Marketing Rule
- Know Your Customer verification
- Medical device cybersecurity
- OFAC compliance
- Pharmaceutical advertising compliance
- Pipeline safety and PHMSA compliance
- Recordkeeping and document retention
- Renewable energy certificate tracking
- Sanctions screening
- Section 230 platform liability
- Software Bill of Materials requirements
- Suspicious activity reporting
- Tariff and customs classification
- Third-party risk management
- Vendor cybersecurity due diligence
- Whistleblower program compliance