This compliance requirement includes any regulations promulgated under that Act.
A key requirement is for the firm to implement a customer identification program as part of their overall compliance program.
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GRIP Extra: OSC sets examination priorities, SEC reviews FINRA short-selling proposal
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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FINRA Annual 2026: Talking AI and prediction markets
Speakers tackled emerging developments in crypto, AI, prediction markets and other critical regulatory topics shaping financial services entities.
Julie DiMauro3 min read
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FINTRAC confirms details of tougher AML regime
Under the new rules, FINTRAC may impose much higher maximum penalties and make greater use of formal tools to force firms to fix compliance problems.
Alexander Barzacanos2 min read
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GRIP Extra: CFTC replaces outdated swap benchmarks, ESMA moves to simplify EU reporting
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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Compromise on stablecoin yields gives CLARITY Act a boost
The compromise would allow transaction-based incentives similar to credit card rewards.
Alexander Barzacanos1 min read
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GRIP Extra: OCC blocks Illinois interchange fee ban, CFPB cuts small business lending rule
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
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DOJ and CFTC bring first parallel insider trading cases, signaling new enforcement era
Observations on what these charges may signal for prediction markets, for the government’s evolving enforcement toolkit, and for market participants.
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OPINION: The evolving enforcement ecosystem – the SEC’s retreat that isn’t
New report could suggest a retreat from digital asset enforcement. That conclusion would be understandable – and wrong.
