2026 Compliance Readiness: Expect More, Prepare Smarter скачать в хорошем качестве

2026 Compliance Readiness: Expect More, Prepare Smarter

2025 has been a year of compliance recalibration for wealth firms. While the regulatory pipeline has slowed, oversight has intensified. The SEC and FINRA have issued more targeted examinations, enforcement actions, and penalties – signaling that the era of reactive compliance is over. As firms prepare for 2026, the focus is shifting toward demonstrable compliance: clear documentation, technology-enabled oversight, and an ability to evidence “best interest” at every stage. Join leaders from the wealth industry as they explore emerging exam priorities, lessons learned from recent actions, and the practical steps firms can take now to stay exam-ready in 2026. Key Talking Points: 2025 Review: Why enforcement actions surged even as new regulations slowed. 2026 Outlook: What to expect from the SEC and FINRA’s next examination cycle. The Growth Pivot: How the outlook has shifted from a focus on risk avoidance to “Advisor Experience (AX)” - efficiency, trust, and growth. Best Practices: How leading firms are modernizing compliance to stay audit-proof. Action Plan: Steps to ensure your documentation, disclosures, and decisions align with best-interest standards.