Compliance Programs Are Being Tested by Change Management: Why Regulators Care About What Happens After Implementation
Introduction — Most Compliance Failures Don’t Start With Bad Policies During an SEC exam, a...
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Vendor Oversight Is Becoming an Operational Compliance Issue — Not Just a Procurement Exercise
Introduction — The Vendor You Trust Is Now Part of Your Compliance Program During a...
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Compliance Teams Are Drowning in Alerts: Why Surveillance Fatigue Is Becoming a Regulatory Risk
Introduction: More Monitoring Hasn’t Meant Better Oversight A compliance officer at a mid-size broker-dealer recently...
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Market Structure Is Changing: What 24-Hour Trading Means for Best Execution & Compliance.
Introduction: The Market No Longer Closes For years, firms operated within a structure that felt...
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Cyber-Enabled Fraud & Senior Investor Protection: The Compliance Gaps Regulators Keep Finding
Introduction — The Same Risks Keep Showing Up If you spend even a short amount...
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Remote Supervision Is No Longer Temporary Relief: What FINRA Expects from Hybrid Firms
Introduction — The Remote Work Experiment Is Over For a period during the pandemic, remote...
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FINRA’s GenAI Pivot: From Usage Policies to Governance, Testing, and Supervision
Introduction — AI Is No Longer a Hypothetical Risk A year ago, most firms treated...
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Off-Channel Communications Enforcement Isn’t Over — Why Your Recordkeeping Posture Still Matters
Introduction — The “WhatsApp Problem” Didn’t End with the Headlines When the SEC’s record fines...
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Reg S-P Is Now a Deadlines Story: Incident Response & Vendor Oversight Under a Privacy Rule
Introduction – Privacy Rules Used to Be About Paper For years, Regulation S-P was treated...
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