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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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Fed unveils “sharpened” supervisory operating principles
The memo shifts exam priorities, MRAs, and horizontal reviews toward material financial risks.
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Alternative Asset Management compliance roundtable focuses on tech
Leading compliance professionals from the alternative asset management sector gathered at Global Relay’s London offices to discuss current issues.
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SEC softens FINRA penalty in exam-cheating allegations case
Allegations of exam cheating get reviewed by the current SEC commissioners.
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Top compliance program mistakes (and how to avoid them): A marathon, not a sprint
The final part in this series of 3: Compliance as an ongoing commitment of documentation, consistency, and continuous improvement.
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Top compliance program mistakes (and how to avoid them)
Part 1, in a series of 3, on common compliance mistakes investment advisers make. First – how to build an engaging compliance manual.
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SEC Exams in 2025: A practical playbook for private fund advisers
SEC exams are likely to stay just as rigorous, if not become even more detail-oriented.
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The GRIP Files: Portia Amato, Practice Lead – US, Bovill Newgate
With 20 years of compliance experience, Portia tells us about her career and what happened when the SEC made an unexpected visit on the day before Christmas Eve!