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The (de)regulatory agenda in US banking – 2025 and beyond
US banking regulators have altered some aspects of their supervisory stances, eliminating reputational risk as a standalone basis for supervisory criticism, among other moves.
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FINRA settles with Credit Suisse Securities for trade surveillance lapses
Technology issues and lax supervisory procedures allegedly led to “hundreds of millions” of trade, order and position records being omitted from its surveillance systems.
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Speeches in 2025 express exuberance for change and concern over same
Speakers emphasized technology‑neutral and principles‑based regulation, teased on new policies to come, or raised red flags.
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NY passes landmark AI law to ensure safety of advanced models
New York joins California in mandating certain disclosures and safety protocols in the training and use of AI frontier models.
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A Valerie Mirko walks us through the RIA and BD year in review
Mirko also touched on public company and crypto matters, saying the agencies will still focus on investor harm but emphasize useful disclosure, welcoming innovation and bolstering the private markets.
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Podcast: Duncan Hennes bets you want to know more about the predictions market
Duncan Hennes, managing director in the KPMG Financial Services Risk, Regulatory, and Compliance Advisory practice, tells us about the ever-growing prediction marketplace.
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What we learned from the DOJ’s year in enforcement
A new direction of travel has become clearer, which makes anticipating what happens next easier.
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Podcast: Kelly Gibson and Carolyn Welshhans on navigating the compliance landscape
Gibson and Welshhans told GRIP about how they view the enforcement activity in 2025 from the US regulators and contemplate the road ahead in advising firms to manage risk.