Tag: broker-dealers

The release of the 2026 Annual Regulatory Oversight Report by the Financial Industry Regulatory Authority (FINRA) sets out the regulator’s examination and enforcement priorities...

The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...

Financial advisors operate in one of the most tightly regulated parts of financial services, and the pressure is rising. As client expectations increase, rules...

The US SEC has set out its examination priorities for 2026, signalling that regulated firms should brace for more stringent oversight of their technology...

Understanding the mindset of intermediaries is paramount for asset managers aiming to engage and collaborate with broker-dealers effectively. It's essential to grasp the key drivers behind their decision-making processes and identify critical contacts within their home offices. Such insights can highlight potential leverage points even before partnerships are forged.

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication recordkeeping requirements. This latest enforcement wave pushes the total fines levied for similar violations to over $3bn, underscoring the serious, ongoing issue of non-compliance within the industry.

The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.

The U.S. Securities and Exchange Commission (SEC) has recently made significant adjustments to its regulatory framework, introducing two pivotal rules, Rules 3a5-4 and 3a44-2, collectively known as the Final Rules.

The world of finance is on the brink of a significant transformation, especially for investment advisors in the United States. On February 15th, 2024, a pivotal announcement was made by the Financial Crimes Enforcement Network (FinCEN) that is set to redefine the landscape of anti-money laundering (AML) and counter-financing of terrorism (CFT) compliance.

In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again made headlines by imposing fines on another 16 firms.