Resources
FINRA’s 2026 Annual Regulatory Oversight Report landed in December with an unusually specific set of expectations for broker-dealers deploying AI in supervisory and compliance workflows. Examiners are already asking firms about agentic AI governance before formal guidance arrives. This issue maps what the report actually requires, where most surveillance programs fall short, and what a defensible compliance posture looks like under FINRA Rule 3110.
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The ACAMS Assembly returned to Las Vegas September 29–October 1, 2026, with a deceptively simple theme: Insight vs. Noise. Across 65+ sessions and 140 speakers, the conference surfaced some hard-won clarity about what AI actually changes in financial crime compliance — and what it doesn’t. Here’s what mattered.
Institutional client onboarding has become one of the most consequential compliance bottlenecks in wholesale banking and fixed income. In partnership with Armstrong Wolfe, we’re launching a community dedicated to solving it — and this issue lays out why the problem is bigger than most institutions realize, and where AI fits in.
Correspondent banking relationships have declined 30% since 2011 as institutions exited high-risk corridors to reduce financial crime exposure — a strategy that FATF's 2025 updated guidance has called out directly for pushing payment flows into informal channels and making the underlying risk worse. Issue No. 18 examines the compliance economics driving de-risking, why managing risk rather than avoiding it is now the regulatory expectation, and how agent-assisted due diligence changes the cost calculus that made exiting a relationship cheaper than investigating it.
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