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Regulation S-P deadline exposes gaps in manager compliance
US investment managers are discovering that 2026's regulatory landscape offers no shortcuts, even as the SEC signals a more targeted approach to enforcement. The...
Financial firms face AI scrutiny without new rules
Financial firms are making major decisions about artificial intelligence before regulators have established a dedicated rulebook for the technology. But the absence of AI-specific...
RegTech gap widens as compliance shifts to judgement
Risk and compliance functions across financial services are being asked to do more than track regulatory change, according to CUBE's latest fortnightly briefing, The...
SEC AI scrutiny exposes governance gaps in finance
Financial firms are facing growing pressure to demonstrate how artificial intelligence is being used, governed and disclosed as the US Securities and Exchange Commission’s...
$931m in Q2 fines shows escalation, not detection, is failing
Global enforcement penalties in the second quarter of 2026 reached their highest level in four quarters, according to a new analysis of regulatory activity...
Reg S-P puts marketing teams’ AI workflows in the firing line
Regulation S-P has long been filed away as a matter for privacy officers, cybersecurity leads and legal counsel. That framing is now dangerously out...
Private fund managers face SEC scrutiny on AI and retail
Private fund managers are facing a regulatory landscape that is shifting on multiple fronts at once, as the SEC sharpens its focus on AI...
Merrill Lynch’s $7.5m SAR fine exposes threshold risk
The US SEC has hit Bank of America's Merrill Lynch arm with a $7.5m civil penalty after finding the firm failed to file numerous...
Why AI governance is now a regulatory battleground
AI governance in financial services is no longer a distant concern, according to a new fireside conversation hosted by RegTech firm Red Oak Compliance,...
Why FinCEN’s new AML rule changes everything for RIAs
With FinCEN's new anti-money laundering rule taking effect on 1 January 2026, SEC-registered investment advisers are entering unfamiliar territory, where compliance stretches far beyond...
