FINRA has released its 2026 Regulatory Oversight Report, outlining key areas of focus for the year ahead. With continued attention on AI-driven risks, cybersecurity threats, financial crimes, and heightened regulatory expectations around Regulation Best Interest (Reg BI), firms must be prepared to demonstrate robust governance, strong supervisory practices, and operational readiness.
Join ACA’s regulatory experts as they walk through FINRA’s 2026 priorities, highlight emerging risks, and discuss effective practices to strengthen your firm’s compliance program for the year ahead.
What We Will Cover:
- AI and generative AI
- Cybersecurity and cyber-enabled fraud
- AML, fraud, and account takeovers
- Manipulative trading and emerging market abuse trends
- Third-party risk and technology management
- Crypto asset supervision
- Reg BI expectations
Speakers
- Francois Cooke, Managing Director, ACA Group
- Carlo di Florio, President, ACA Group
- Tom Grygiel, Senior Principal Consultant, ACA Group
- Christine Tetherly-Lewis, Partner, ACA Group
- David Labhart, Senior Principal Consultant, ACA Group
- Patrycja Savignano, Director, ACA Group