GRC News | Financial Industry Insights

Why Prudential Readiness Needs to Be Built Into Authorisation

August 28, 2026

Learn why prudential readiness is essential for FCA authorisation, including capital, liquidity, ICARA, and financial resilience for investment and crypto firms.

Article

Crypto, FCA Authorisation, Prudential

CFTC Proposes CPO and CTA Registration Exemption Changes

August 27, 2026

CFTC proposes CPO and CTA registration exemptions, including Regulation 4.13(a)(4) and a higher small pool threshold. Learn what it means.

Article

CFTC, Compliance, NFA

How an OCCO Helps RIAs Strengthen Regulatory Confidence

August 20, 2026

Learn how an OCCO helps RIAs strengthen SEC compliance, prepare for regulatory examinations, and manage regulatory risk.

Article

OCCO, Registered Investment Advisor (RIA), SEC

How the FCA’s New Conduct Rule Affects eComms Surveillance

August 20, 2026

The FCA's new non-financial misconduct rule takes effect 1 September 2026. Learn how electronic communications surveillance, noise reduction, and AI-driven monitoring can help firms identify and manage conduct risk.

Article

ComplianceAlpha, eComms, FCA, Regulatory Compliance

Five COO Priorities Reshaping Investment Operations in 2026

August 19, 2026

Discover the five priorities shaping investment operations in 2026—from AI and operational resilience to talent risk, outsourcing, and scalable operating models.

Article

COO, GIPS Standards, Investment Performance, Operational Efficiency

What Is the Retailization of Alternative Investments?

August 12, 2026

Learn how alternative investment retailization affects Rule 3a4-1, broker-dealer registration, and fund manager compliance.

Article

Alternative Investments, Broker-Dealer, FINRA, SEC Marketing Rule