Moscony lists questions every adviser should be able to answer today.
Examinations
Compliance
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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.
Conferences and events
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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.
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.
The priorities fall into several core themes: conduct, fiduciary standard, compliance program effectiveness, technology, operational resilience, and cybersecurity.
The memo shifts exam priorities, MRAs, and horizontal reviews toward material financial risks.
Leading compliance professionals from the alternative asset management sector gathered at Global Relay's London offices to discuss current issues.
Allegations of exam cheating get reviewed by the current SEC commissioners.