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AI

FINRA outlines recommendations for the use of AI tools

January 29, 2026

FINRA’s Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.

Julie DiMauro3 min read
Regulation

CMS proposes flat rates for 2027 Medicare Advantage to ensure ‘sustainability’

January 29, 2026

The agency is also proposing a shift in the risk-adjustment model traditionally used in the MA program.

Kevin Kinsella2 min read
FCA

Mills Review shows FCA positive but cautious about AI use in financial services

January 29, 2026

The review represents a shift from monitoring AI to assessing long-term impact on markets and consumers.

Carmen Cracknell, Thomas Hyrkiel3 min read
SEC

SEC’s Regulation S-P outreach puts small firms on notice

January 29, 2026

Through its dedicated outreach program the SEC offered small firms the clearest indication yet on how compliance with the 2024 Regulation S-P amendments will be examined.

Vlada Gurvich6 min read

ComplianceMore on Compliance

Enforcement

SEC settles insider trading case with Massachusetts resident involving Sage Therapeutics

January 28, 2026

The agency alleged that Brian Suthoff liquidated all of his Sage stock in advance of negative news.

Kevin Kinsella1 min read
Enforcement

FDA issues warning letters to four companies for sale of HIV self-collection blood tests

January 28, 2026

The federal regulator contends the four biologics firms lack appropriate testing and marketing authorization.

Kevin Kinsella2 min read
Compliance

Why high-risk training is the missing link in modern surveillance

January 28, 2026

Technology may have transformed detection. Accountability, however, is still built by people, and institutions still need to be able to answer, “Who made the decision – and why?”

Justin Muscolino | High Risk Education (HRE)3 min read
Enforcement

SEC sues Lottery.com and ex-employees for revenue fraud

January 28, 2026

According to the complaint, a series of artificial transactions drastically inflated the company’s value from 2020 to 2022.

Alexander Barzacanos2 min read

More on Compliance

RegulationMore on Regulation

Regulation

UK Accelerated Settlement Taskforce publishes 2025 progress update

January 28, 2026

The UK began its journey towards a T+1 settlement cycle back in 2023. The official transition will take place on October 11, 2027.

Hameed Shuja2 min read
SEC

SEC proposal could reframe how regulatory burden is evaluated for most RIAs

January 27, 2026

If adopted, the SEC estimates that roughly three-quarters of advisers, including many SEC-registered ones, would fall within the revised definition.

Janaya Moscony | SEC32 min read
Regulation

AMA survey reveals state health policy priorities and challenges

January 26, 2026

The survey of the 64 physician organizations spotlights their leading healthcare priorities, defining the state-level legislative – and risk – landscape in 2026.

Kevin Kinsella2 min read
FCA

FCA work in review: January 16-23, 2026

January 23, 2026

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

Hameed Shuja2 min read

More on Regulation

TechnologyMore on Technology

Security

Europol issues critical roadmap for “quantum-proofing” global finance

January 29, 2026

Risk-based framework to help FIs identify which of their systems must be upgraded first to defend against the future threat of quantum computers.

Jean Hurley2 min read
Fintech

Estonia considers a financial ombudsman as finserv complaints rise

January 29, 2026

Similarly to the Nordic countries, the rise in complaints is a result of a wave of fraudulent activities.

Vasilka Lalevska1 min read
Crypto

Regulation of crypto-asset activities in the UK: Completing the regulatory puzzle

January 28, 2026

While the regulatory burden will increase, so will the degree of regulatory certainty for firms looking to operate in the UK.

Miroslav Đurić | Taylor Wessing7 min read
Technology

Critical minerals, energy storage, and international collaboration

January 26, 2026

At a recent conflab on critical minerals, speakers noted how Canada, sometimes in partnership with the US, is using the resources to support energy grid resilience.

Julie DiMauro3 min read

More on Technology

ResourcesMore on Resources

GRIP Extra

GRIP Extra: EPA rules against xAI in turbine case, House panels excoriate health insurance CEOs

January 26, 2026

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

GRIP2 min read
Resources

Guidance Note 1 – FINRA Rule 6730

January 23, 2026

Late reporting to TRACE.

GRIP<1 min read
GRIP Extra

GRIP Extra: US scraps “hundreds” of enforcement actions; Supreme Court to hear SEC disgorgement case

January 19, 2026

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

GRIP3 min read
Resources

Video: UK Government U-turns on mandatory Digital ID plans amid privacy pushback

January 15, 2026

GRIP’s Senior Reporter Carmen Cracknell and Commissioning Editor Jean Hurley discuss the intersection of digital identity and the UK’s fraud crisis.

Jean Hurley, Carmen Cracknell1 min read

More on Resources