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FINRA

FINRA opens broad review of arbitration process

March 9, 2026

The move signals an impending reboot of an often-criticized system.

Alexander Barzacanos3 min read
AI

When AI meets privilege: Early court decisions

March 9, 2026

How privilege claims should be managed when AI is involved.

Scott A. Milner | Morgan Lewis, Matthew J. Hamilton | Morgan Lewis4 min read
Enforcement

Canaccord Genuity fined record $80m by US regulators

March 9, 2026

Failure to monitor suspicious trading has led to the largest-ever fine for breaching the Bank Secrecy Act.

Julie DiMauro8 min read
Regulation

Epic Systems, Oracle Health submit recommendations for HHS AI guidance

March 6, 2026

Both stakeholders say that AI should support clinical workflows and that clinicians should maintain decision-making authority.

Kevin Kinsella4 min read

ComplianceMore on Compliance

ESG

California pushes corporate climate transparency

March 6, 2026

The rules mark California as one of the most ambitious climate-disclosure jurisdictions in the United States.

Vlada Gurvich4 min read
Compliance as a Profession

The GRIP Files: Alexander Cohen

March 6, 2026

Alex tells us about representing clients before the SEC, FINRA, and state securities regulators and shares his experiences dealing and working with senior regulatory figures.

Jean Hurley5 min read
Enforcement

John Wood Group fined £12.9m by FCA for issuing misleading statements

March 6, 2026

The company agreed to resolve the case at an early stage and qualified for a 30% discount on the penalty imposed. The original fine was £18.5 million.

Hameed Shuja2 min read
Enforcement

Apex and SEC battle over firm’s off-channel comms settlement

March 5, 2026

Apex argues that by applying substantially less burdensome undertakings on other similarly charged firms the SEC has breached administrative law.

Julie DiMauro4 min read

More on Compliance

RegulationMore on Regulation

FCA

FCA work in review: March 2-6, 2026

March 9, 2026

Our regular roundup of the latest news and developments from the FCA.

Hameed Shuja3 min read
CFTC

CFTC’s Selig signals green light for crypto perpetuals

March 6, 2026

The derivative contracts, which trade widely offshore, will likely soon come to US markets with faster listings via self-certification.

Alexander Barzacanos1 min read
Regulation

Sanders and Khanna introduce Make Billionaires Pay Their Fair Share Act

March 5, 2026

“We can no longer tolerate a corrupt tax code that enables billionaires to pay a lower tax rate,” said Sanders.

Kevin Kinsella2 min read
SEC

Are you ready for the new Reg S-P?

March 5, 2026

The amendments significantly expand expectations around incident response, customer notification, and service provider oversight.

Janaya Moscony | SEC33 min read

More on Regulation

TechnologyMore on Technology

Crypto

Crypto wrap: Board of Peace stablecoin proposal, FCA rules test, vote to block crypto donations

February 26, 2026

Our roundup of the latest news in crypto.

Carmen Cracknell2 min read
AI

Global data regulators raise privacy concerns over AI-generated imagery

February 26, 2026

Organizations responsible for developing AI content-generating systems have been reminded they should act in accordance with the legal frameworks in place.

Hameed Shuja3 min read
Data

Swedish IMY reports 89% increase in data breaches during 2025

February 26, 2026

Both complaints and incidents involving personal data increased significantly last year.

Martina Lindberg, Vasilka Lalevska1 min read
Data

Reddit fined $19.5m for unlawful use of children’s personal information

February 25, 2026

The ICO says there is evidence that a large number of children under 13 accessed the platform, and claims Reddit did not have necessary measures in place to verify their ages or suitability of content.

Hameed Shuja2 min read

More on Technology

ResourcesMore on Resources

GRIP Extra

GRIP Extra: Fed terminates Wells Fargo enforcement, US mulls national security-based chip framework

March 9, 2026

Our in-brief roundup of notable stories from the last week.

GRIP2 min read
Podcasts

Podcast: Janaya Moscony and Leigh Wittick walk us through complying with Reg S-P

March 2, 2026

Janaya Moscony and Leigh Wittick spoke to GRIP about how financial institutions can demonstrate compliance with the many components of Reg S-P.

Julie DiMauro26 min listen
GRIP Extra

GRIP Extra: Anthropic clashes with Pentagon, OCC proposes GENIUS Act implementation rules

March 2, 2026

Our in-brief roundup of notable stories from the last week.

GRIP2 min read
Podcasts

Podcast: Barry Rashkover on securities enforcement defense, regulatory compliance, and white-collar matters

February 26, 2026

Barry Rashkover is a securities enforcement defense lawyer and partner at Walden Macht Haran & Williams.

Vlada Gurvich37 min listen

More on Resources