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SEC proposes expanding fund cross-trading eligibility, restoring many fixed-income transactions while adding safeguards.
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Fang and Vassallo tell us about how t54 provides agentic AI services while using identity, behavior, context and guardrail signals to mitigate risk.
The FCA said it will engage further with selected firms to test the adequacy and effectiveness of their compliance resources.
Rule proposals are part of the FINRA Forward initiative and will be filed with the SEC .
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Compliance
Emerging consistency as data, controls, and assurance develop. FAR’s Sara Lissdaniels helps us draw the main compliance lessons.
Regulation
CP26/35 proposes changes that align the illiquid asset redemption rules to international standards to reduce operational pressure on firms.
Technology
We address the gaps between a company's claims and its actual AI capabilities or practices.
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