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SEC 2026 exam priorities – what advisers & broker-dealers must know
The priorities fall into several core themes: conduct, fiduciary standard, compliance program effectiveness, technology, operational resilience, and cybersecurity.
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SEC details 2026 compliance and oversight priorities
The 2026 priorities carry forward many of the themes from 2025, but the tone has shifted from early groundwork to more stringent expectations.
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Fed Board finalizes LFI framework revision, broadens “well managed” status
Final notice aligns with proposed revisions aiming to better represent a bank’s strength and resilience.
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SIFMA says more than 90 participants tested its disaster prep plans
The testing involved simulated trading, post-trade activity, and regulatory trade reporting.
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FINRA on incorporating AI into surveillance, risk reviews
FINRA uses AI for market surveillance and conducting firm risk reviews, and it assumes you are using it for your oversight needs too.
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FCA to supervise financial services firms for AML/CTF compliance
Proponents of the announcement believe it will help prevent money laundering; critics argue the FCA may not have the capacity to do a supervisory job.
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US regulators nix agency principles for managing climate-related financial risk
Current staff believe that the climate principles established just two years ago may distract large financial institutions from managing material risks.
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Which? declares insurance market “broken” in formal super-complaint to FCA
Which? takes extraordinary step of using its statutory powers to submit a super-complaint to the FCA over its concerns about home and travel insurance.