Examinations
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Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
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FINRA Annual 2026: Exam and enforcement enhancements offer guidance to member firms
Speakers discussed the enhancements FINRA is making to both divisions and how firms can navigate their way through these processes with better practices.
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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.
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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.