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.
US
- SEC + CFTC SEC and CFTC formalize inter-agency coordination framework via MOU covering digital asset jurisdiction and market oversight Read sample brief →
- SEC + CFTC (Litigation + Admin Proceedings) CFTC files affirmative federal preemption suit against three states asserting exclusive Commodity Exchange Act jurisdiction over designated prediction market products Read sample brief →
- Federal Reserve + OCC OCC and FDIC finalize rule eliminating reputation risk as a supervisory criterion and prohibiting viewpoint-based account action directives Read sample brief →
- FINRA (Notices + Rule Filings) FINRA publishes Regulatory Notice 26-08 proposing amendments to Rule 3110 supervisory procedures for digital communication surveillance Read sample brief →
- Commodity Futures Trading Commission Federal court issues TRO halting Arizona criminal enforcement against CFTC-regulated prediction market operators Read sample brief →
- Financial Crimes Enforcement Network FinCEN proposes Section 311 rule to cut Swiss bank MBaer from U.S. correspondent access over Russia-Iran links Read sample brief →
- Federal Deposit Insurance Corporation FDIC, Fed, and OCC jointly confirm tokenized securities receive same capital treatment as traditional securities Read sample brief →
EU
- Financial Conduct Authority FCA opens Competition Act 1998 investigations into Mastercard, PayPal, and Visa over digital wallet conduct Read sample brief →
- PRA / Bank of England Bank of England and PRA issue joint AI policy response setting supervisory posture on AI in financial services Read sample brief →
- European Securities & Markets Authority ESMA publishes final report and mandatory guidelines on MiFIR consolidated tape system requirements, setting technical standards for the EU equity and bond consolidated tape providers ahead of CTP selection Read sample brief →
- European Banking Authority EBA publishes final draft Regulatory Technical Standards on ESG risk classification for the banking book under CRR III Read sample brief →
- European Central Bank ECB Governing Council cuts deposit facility rate by 25 basis points to 1.75%, signals data-dependent pause in easing cycle Read sample brief →
- Federal Financial Supervisory Authority BaFin issues guidance on ICT risks from AI use in financial institutions, operationalizing DORA expectations for German banks and insurers ahead of EU AI Act high-risk obligations Read sample brief →
APAC
- Securities and Futures Commission SFC publishes updated licensing framework for virtual asset trading platform operators with enhanced investor protection requirements Read sample brief →
- Hong Kong Monetary Authority HKMA grants first stablecoin issuer licences under the Stablecoins Ordinance to HSBC and Anchorpoint Financial, operationalizing Hong Kong's prudential digital-asset framework Read sample brief →
- Monetary Authority of Singapore MAS publishes final Guidelines on Business Continuity Management for Financial Institutions incorporating AI system resilience requirements Read sample brief →
- Securities and Exchange Board of India SEBI issues master circular on ESG disclosure framework mandating BRSR Core assurance for top 1,000 listed entities by market capitalization Read sample brief →
- Reserve Bank of India RBI prohibits INR non-deliverable derivatives for all users and bans related-party FX derivative dealings with immediate effect Read sample brief →
- Financial Services Agency Japan Cabinet approves omnibus FSA bill amending the Financial Instruments and Exchange Act and Payment Services Act, restructuring crypto-asset regulation, sustainability disclosure, and startup capital formation 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.