-
Latvijas Banka sets supervisory priorities for the financial market
Focus for 2026-2028 includes financial and operational resilience, accessibility, and transparency of financial services.
-
OPINION: SEC3 year-end takeaways
Janaya Moscony, president of SEC3 and former SEC regulator, offers top tips and best practice learned in 2025 to navigate a frictionless 2026.
-
FCA responds to “broken market” super-complaint as consumer groups warn of “race to the bottom”
FCA will monitor “consumer outcomes” and “continue to hold firms and their senior leaders to account.”
-
FINRA flags AI use recommendations in 2026 report
Trends in AI listed for the first time.
-
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.
-
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.
-
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.
-
SIFMA says more than 90 participants tested its disaster prep plans
The testing involved simulated trading, post-trade activity, and regulatory trade reporting.