A quick review of SEC and FINRA regulatory exam priorities for 2025
Here are my takeaways from the SEC and FINRA's 2025 exam priorities, focusing on investment advisers, AI, Reg S-P, Reg BI, and...
A roadmap for implementing AML compliance for IAs
My short guide to implementing AML compliance for IAs covers key components, regulatory requirements, and practical steps for...
What Financial Advisors can learn from the SEC's Marketing Rule enforcement
In enforcing the Marketing Rule, the SEC has focused on transparency and factuality regarding conflicts of interest, third-party...
It’s time to take your AML compliance programs off autopilot
Financial criminals are turning to AI to exploit weak IT protocols and carry out cyber attacks—but firms can use AI tools to fight...
Thoughts on FINRA's 2024 Annual Conference as a panelist & attendee
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
AI was top of mind at SIFMA C&L 2024
At SIFMA C&L 2024, AI took center stage with panels, use cases, and risk assessment discussions for compliance professionals. Here...
New name & guidance: 2024 FINRA Annual Regulatory Oversight Report
Here are the must-see topics from FINRA's 2024 Annual Regulatory Oversight Report including crypto, AI, off-channel...
Continuing Membership Application (CMA) – newly improved!
Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and...
FINRA sweeps contain more than you think
FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...
FINRA’s updated cycle exam program: What you need to know
Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...
Effective compliance risk management: part II
A healthy compliance program that includes a risk management program can provide a foundation for monitoring progress toward risk...
Effective compliance risk management: an essential function for the success of a compliance department: part I
For effective compliance risk management, identify, assess, and quantify risks, then implement a strategy designed to manage the...