Artificial intelligence is increasingly becoming part of how financial institutions communicate with clients. From automated […]
Regulatory Update May 2026 On May 19, 2026, SEC Chairman Paul Atkins released two companion […]
Anti-money laundering (AML) compliance has long been a foundational obligation for broker-dealers and a growing […]
Private equity has entered a period of sustained regulatory attention. While market conditions, fundraising cycles, […]
What the numbers say, what they don't, and what every RIA, private fund manager, and […]
The Conflict Conundrum Conflicts of interest are not new to financial services. Investment advisers, broker-dealers, […]
Annual compliance training remains one of the most visible and frequently evaluated components of a […]
Artificial intelligence has entered the compliance landscape with unusual speed. AI-driven tools now appear across […]
The SEC issued two closely related statements that, when read together, offer one of the […]
The SEC’s Division of Examinations has released a new Risk Alert detailing additional observations from […]
A CRC Perspective FINRA’s 2026 Annual Regulatory Oversight Report lands with a familiar mix of […]
On Monday, November 17th, 2025, FINRA unveiled an interactive report card related to Account Holder […]
Executive Summary The SEC's 2026 Exam Priorities confirm a shift that Compliance Risk Concepts (CRC) […]
OVERVIEW As regulators prepare for a more complex and technology-driven enforcement landscape in 2026, NASAA’s […]
The SEC Staff’s recent no-action letter to the Financial Services Institute (FSI) has raised important […]
