Tag: FINRA

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to financial firms experimenting with generative AI: adoption is racing ahead, while governance...

The word “exam” tends to trigger anxiety, whether it comes from a school, a doctor, or a financial regulator. In financial services, however, regulatory...

Reconciliation has become one of the most important components of compliance, particularly as regulated firms face more complex communication environments and increasing regulatory scrutiny. The...

The latest National Financial Capability Study from the FINRA Foundation has shed light on how U.S. investors are reassessing their expectations, information sources and...

FINRA’s recent focus on artificial intelligence marks a significant moment for US financial regulation, with the organisation accelerating efforts to embed GenAI into its...

Finastra has expanded its Fusion Invest platform with new functionality designed to meet the complex needs of annuities carriers.

Compliance teams across the financial sector are grappling with overwhelming volumes of communications. From emails to messaging apps, the daily flood of interactions now...

Compliance teams in financial services are facing unprecedented pressure as communication volumes soar across chat apps, messaging platforms, and traditional email. Regulatory scrutiny continues...

Using a document management system (DMS) has become an effective way for organisations to protect sensitive data while meeting compliance requirements. These systems help...

Netcapital, a FinTech firm operating a digital private capital markets ecosystem, has announced a fresh funding deal under Nasdaq rules.