$1.1 million FINRA fine for AML compliance failings
Do recent enforcement actions from FINRA, including a $1.1 million fine for AML compliance program failings and a member ban for unapproved channel use, indicate the regulator’s direction of travel for 2026?
Regulatory Wrap episode 76: FCA NFM final rules
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
How is comprehensive risk management a competitive advantage?
With security incidents and data breaches becoming more prevalent – and more disruptive – sound risk-management frameworks can not only minimize threats but give businesses a competitive advantage.
$10,000 fine continues FINRA’s off-channel communications crackdown
FINRA has fined and suspended an ex-B. Riley broker for sending business-related communications via an unapproved personal email account, continuing its enforcement streak against recordkeeping violations.
How can healthcare and life sciences organizations control GenAI recordkeeping risks?
With the use of generative AI tools like ChatGPT increasing within healthcare and life sciences organizations, how can businesses balance compliance and modernization while tapping into the benefit AI can offer?
Regulatory Wrap episode 75: SEC 2026 Examination Priorities
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
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.