Regulation

Guidance on how compliance teams can effectively manage their snowballing workload.

The Consumer Duty came into action over a year ago. We assess its impact so far.

AI tools have undoubtedly transformed modern working practice across most industries. What does this mean for financial regulators?

An analysis of the intense regulatory activity we have seen so far from the SEC, FINRA and the FCA.

The SEC has incentivized firms to self-report on off-channel violations. We look into the process and its benefits.

Key recordkeeping teakeaways from the 2024 FINRA Annual Regulatory Oversight Report.