Tag: FINRA

Zeidler Group has urged asset managers to treat the SEC’s latest Marketing Rule FAQs as a targeted clarification rather than a market-moving change, arguing...

Financial firms are rolling out AI note-taker tools at speed, drawn by the promise of lighter admin and faster documentation. But convenience comes with...

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

Email remains one of the most scrutinised communication channels in regulated industries, sitting at the centre of client interactions, contractual negotiations, internal approvals, and...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to the financial services industry: the pace of GenAI adoption is outstripping the...

Whether it comes from a doctor, a teacher, or a financial regulator, the word “exam” rarely inspires confidence. In financial services, however, regulatory exams...

Reconciliation has become one of the most urgent priorities for regulated firms as record-keeping obligations grow more complex. According to Theta Lake, with hybrid work,...

The latest findings from the FINRA Foundation’s National Financial Capability Study point to a decisive shift in how U.S. investors approach the markets. The...

FINRA has stepped up its modernisation efforts this year through FINRA Forward, a programme designed to strengthen the organisation’s regulatory effectiveness in an era...

Compliance teams across the financial sector are facing an unprecedented challenge. With staff expected to review an avalanche of emails, instant messages, and chats...