GRC News | Financial Industry Insights

FCA Annual Work Programme Signals Sharper Supervisory Focus

April 13, 2026

FCA 2026/27 priorities signal sharper supervision, stronger governance expectations, and increased scrutiny for firms.

Article

AML and Financial Crime, Consumer Duty, Market Abuse, SM&CR

How Investment Advisers Should Approach AI Risk and Governance?

April 9, 2026

Learn how investment advisers are using AI, what’s driving adoption, and the governance and compliance steps needed to manage risk responsibly.

Article

Artificial Intelligence (AI)

Proposed Clarifications to the Scope of Securities Exchange Act of 1934 Rule 15c2-11

April 8, 2026

The SEC has proposed amendments requiring brokers and dealers to meet specific due diligence requirements before initiating or resuming quotations for equity securities, including crypto assets structured as equities, outside of national securities exchanges.

Compliance Alert

Broker-Dealer, SEC

How Valuation Decisions Ripple Through Private Credit Structures

April 6, 2026

Explore how valuation drives net asset value behavior, fees, and liquidity in private credit, and what boards, advisers, and regulators expect under today’s frameworks.

Article

Compliance, Private Credit, Private Funds, SEC

FINRA Updates CAB Rules Effective March 2026

April 3, 2026

FINRA’s March 2026 amendments expand CAB firm activities, ease supervisory obligations, and adjust rules for PSTs, compensation, institutional investors, and more.

Article

FINRA, Regulatory Compliance

What Outcomes-Based Supervision Means in Practice for Wholesale Markets Firms in 2026

April 3, 2026

FCA priorities for 2026 highlight outcomes-based supervision and rising expectations for governance and resilience.

Article

FCA, Operational Resilience, Regulatory Compliance