2026 update to FINRA 2210 Communications with the Public
In July 2026, FINRA issued a regulatory notice proposing significant updates to Rule 2210, which governs how broker-dealers communicate with the public. Learn more about the proposed changes and steps firms can take to prepare if they are accepted.
Regulatory Unwrapped: How can firms win the conduct and culture war?
From the three lines of defence to voice surveillance and cross-border accountability, tune in as industry experts unpack the evolving landscape of conduct risk and what it means for firms in 2026.
The 5 mistakes that sabotage mobile compliance proof of concepts
A guide to the five most common mistakes procurement teams make during a mobile compliance proof of concept, from architecture and data capture gaps to monitoring shortcomings and vendor support limitations.
Full steam AI-head: What’s the U.K. government and FCA AI adoption plan?
The U.K. government and FCA AI adoption plan has laid out 10 recommendations for how regulators and the industry can reinforce governance as increasingly advanced models become accessible and integrated into core operations.
What does CIRO’s 2026 enforcement report mean for compliance teams?
A breakdown of CIRO's 2026 enforcement report and what its shift toward fewer but larger firm-level sanctions means for compliance, supervision, and recordkeeping.
Is data security a board-level priority for Nordics firms?
For Nordic compliance teams evaluating surveillance vendors, the critical questions are not just about features, they are about who controls the infrastructure, who can access the data, and what happens to it once an AI model has touched it.
How does voice surveillance differ from other forms of communications surveillance?
As regulators encourage firms to effectively supervise business communications to deter misconduct and maintain compliance, what are the main differences to watch for when monitoring voice communications versus written digital communications?
Regulatory Unwrapped: Breaking down the FCA’s NFM framework
Join us for a deeper dive into the biggest regulatory trends and challenges firms are facing as we chat with experts and understand how organizations can keep pace with fast-paced compliance changes.
Regulatory Wrap episode 86: FCA NFM rules – Is your firm ready?
In Regulatory Wrap for the week to July 31, Rob Mason covers the FCA’s expanded NFM rules, which go into effect on September 1, 2026.