On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more
2/14/2025
/ Annual Reports ,
Annuities ,
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Cybersecurity ,
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Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
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Risk Management ,
Third-Party Risk
Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more
2/6/2025
/ Artificial Intelligence ,
BSA/AML ,
Data Privacy ,
Disclosure Requirements ,
FinTech ,
Innovative Technology ,
Machine Learning ,
Regulatory Agenda ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation