Regulatory compliance is a critical aspect of modern business, ensuring that companies operate within legal and ethical standards. Here are some of the most significant trends in this field, including updates from FINRA, changes in environmental regulations, and the impact of technology on compliance challenges.
FINRA Forward: Modernizing Rules and Enhancing CybersecurityFINRA Forward, a comprehensive initiative aimed at modernizing its rules and reducing regulatory burdens on member firms. This initiative includes three main goals: modernizing rules, empowering compliance, and combating cybersecurity risks. By engaging with industry members, FINRA seeks to make its regulations more effective and efficient in today's fast-paced environment. This approach is crucial as it adapts to new technologies and supports innovation while protecting investors and markets.
Environmental Regulations Shift: NEPA and Agency Responsibilities
Regulatory Challenges in Technology-Driven Risks
The Role of AI in Compliance
Collaboration and Transparency in Compliance
References:
- https://natlawreview.com/article/finra-facts-and-trends-may-2025
- https://brownandcaldwell.com/2025/05/bc-compliance-news-may-2025-environmental-regulations/
- https://www.regcompliancewatch.com/may-12-2025-rcw-weekly-briefing/
- https://www.prnewswire.com/news-releases/nearly-two-thirds-of-us-regulatory-compliance-professionals-view-technology-driven-risks-as-the-most-significant-force-to-cause-compliance-issues-in-2025-302446141.html
- https://www.acenet.edu/Pages/dotedu/133-Pressure-Campaign-Continues.aspx
- https://www.cms.gov/files/document/draftmds-30-rai-manual-v1201october2025.pdf
- https://www.comply.com/resource/how-ai-is-helping-companies-tackle-regulatory-compliance-challenges/
- https://help.webex.com/en-us/article/nv7abhz/O-novo-para-administradores-da-Webex-Contact-Center?%3Fdtid=osoblg000513
Regulatory Challenges in Technology-Driven Risks
The Role of AI in Compliance
Collaboration and Transparency in Compliance
References:
- https://natlawreview.com/article/finra-facts-and-trends-may-2025
- https://brownandcaldwell.com/2025/05/bc-compliance-news-may-2025-environmental-regulations/
- https://www.regcompliancewatch.com/may-12-2025-rcw-weekly-briefing/
- https://www.prnewswire.com/news-releases/nearly-two-thirds-of-us-regulatory-compliance-professionals-view-technology-driven-risks-as-the-most-significant-force-to-cause-compliance-issues-in-2025-302446141.html
- https://www.acenet.edu/Pages/dotedu/133-Pressure-Campaign-Continues.aspx
- https://www.cms.gov/files/document/draftmds-30-rai-manual-v1201october2025.pdf
- https://www.comply.com/resource/how-ai-is-helping-companies-tackle-regulatory-compliance-challenges/
- https://help.webex.com/en-us/article/nv7abhz/O-novo-para-administradores-da-Webex-Contact-Center?%3Fdtid=osoblg000513
The Role of AI in Compliance
Collaboration and Transparency in Compliance
References:
- https://natlawreview.com/article/finra-facts-and-trends-may-2025
- https://brownandcaldwell.com/2025/05/bc-compliance-news-may-2025-environmental-regulations/
- https://www.regcompliancewatch.com/may-12-2025-rcw-weekly-briefing/
- https://www.prnewswire.com/news-releases/nearly-two-thirds-of-us-regulatory-compliance-professionals-view-technology-driven-risks-as-the-most-significant-force-to-cause-compliance-issues-in-2025-302446141.html
- https://www.acenet.edu/Pages/dotedu/133-Pressure-Campaign-Continues.aspx
- https://www.cms.gov/files/document/draftmds-30-rai-manual-v1201october2025.pdf
- https://www.comply.com/resource/how-ai-is-helping-companies-tackle-regulatory-compliance-challenges/
- https://help.webex.com/en-us/article/nv7abhz/O-novo-para-administradores-da-Webex-Contact-Center?%3Fdtid=osoblg000513
Collaboration and Transparency in Compliance
References:
- https://natlawreview.com/article/finra-facts-and-trends-may-2025
- https://brownandcaldwell.com/2025/05/bc-compliance-news-may-2025-environmental-regulations/
- https://www.regcompliancewatch.com/may-12-2025-rcw-weekly-briefing/
- https://www.prnewswire.com/news-releases/nearly-two-thirds-of-us-regulatory-compliance-professionals-view-technology-driven-risks-as-the-most-significant-force-to-cause-compliance-issues-in-2025-302446141.html
- https://www.acenet.edu/Pages/dotedu/133-Pressure-Campaign-Continues.aspx
- https://www.cms.gov/files/document/draftmds-30-rai-manual-v1201october2025.pdf
- https://www.comply.com/resource/how-ai-is-helping-companies-tackle-regulatory-compliance-challenges/
- https://help.webex.com/en-us/article/nv7abhz/O-novo-para-administradores-da-Webex-Contact-Center?%3Fdtid=osoblg000513
References:
- https://natlawreview.com/article/finra-facts-and-trends-may-2025
- https://brownandcaldwell.com/2025/05/bc-compliance-news-may-2025-environmental-regulations/
- https://www.regcompliancewatch.com/may-12-2025-rcw-weekly-briefing/
- https://www.prnewswire.com/news-releases/nearly-two-thirds-of-us-regulatory-compliance-professionals-view-technology-driven-risks-as-the-most-significant-force-to-cause-compliance-issues-in-2025-302446141.html
- https://www.acenet.edu/Pages/dotedu/133-Pressure-Campaign-Continues.aspx
- https://www.cms.gov/files/document/draftmds-30-rai-manual-v1201october2025.pdf
- https://www.comply.com/resource/how-ai-is-helping-companies-tackle-regulatory-compliance-challenges/
- https://help.webex.com/en-us/article/nv7abhz/O-novo-para-administradores-da-Webex-Contact-Center?%3Fdtid=osoblg000513
