Has the SEC shifted focus in its 2026 Examination Priorities?
The SEC’s Examination Priorities for 2026 include focus areas that align with emerging risks, as well as an emphasis on ensuring compliance programs are effective – though, notably, it make no mention of digital assets.
What are the key elements of a strong encryption strategy?
Data protection is essential to ensuring compliance and maintaining business continuity. Explore what encryption processes and security hardware firms should look for when implementing solutions to ensure their data is safeguarded.
A complete guide to ChatGPT recordkeeping
ChatGPT use in financial services has dramatically increased over the past year – especially in North America – raising questions about whether firms are addressing generative AI compliance gaps and aligning with evolving regulatory guidelines.
Regulatory Wrap episode 74: The FCA knows what you did last summer
In Regulatory Wrap for the week to October 31, Jay Hampshire breaks down a speech from the FCA, which reinforces its “do the right thing” motto.
FINTRAC issues a C$600,000 fine for transaction monitoring failures
Canada’s anti-money laundering watchdog fined the First Nations Bank of Canada C$600,000 for violating multiple regulations, including a failure to regularly monitor business relationships for suspicious transactions.
Regulatory Wrap episode 73: Comms compliance gets personal
In Regulatory Wrap for the week to October 24, Jay Hampshire covers FINRA’s $10,000 fine against an individual for off-channel breaches.
How can firms maintain SEC Marketing Rule compliance?
Despite a slowdown in regulatory enforcement actions, ongoing Marketing Rule fines have signaled that compliant marketing messaging remains a priority for SEC. Explore how firms can reinforce compliance posture and implement the right tools to follow the marketing rules.
Regulatory Wrap episode 72: FCA’s call to action on financial crime
In Regulatory Wrap for the week to October 10, Jay Hampshire summarizes the FCA’s recent speech encouraging collaboration to fight financial crime.
How much can weak cybersecurity structures cost firms?
With cybercriminals ramping up the frequency and complexity of attacks against financial organizations, it’s evident that a lacking security infrastructure can take a significant toll on not just revenue and business operations – but reputation.
Regulatory Wrap Episode 71: FDA takes aim at pharma companies’ social media activity
In Regulatory Wrap for the week to October 3, Ryan Thaxton explores the growing spotlight on pharma companies’ social media activity.
Regulatory Wrap episode 70: What the CFTC’s “enforcement sprint” means for compliance
In Regulatory Wrap for the week to September 12, Kathryn Fallah reviews recent enforcement action from the CFTC against 10 firms for technical compliance failures.