Regulatory Signals & Insight

Article

The New SEC Exam Handbook: The Clock and Checklist It Hands Every Registrant

The SEC's new exam handbook writes down the exam clock and an expectations table. What smaller advisers, fund managers and broker-dealers should do this quarter.

Written by Taft Compliance Group

Article

The A7 Network Designation: Why Sanctions Screening Will Not Catch a Sub-Agent

OFAC sanctioned the A7 Network and FinCEN proposed a section 9714 special measure. The exposure sits in unnamed Sub-Agents, so name screening alone will miss it.

Written by Taft Compliance Group

Guide

The EU AI Act for Fintechs: What Is High-Risk and What Is Not (2026)

A fintech guide to the EU AI Act's four risk tiers: which lending, hiring and biometric uses are high-risk, which chatbots carry transparency duties, and the dates on which each obligation applies.

Written by Taft Compliance Group

Article

What the ESAs and the CSSF Just Told You About Your DORA Incident Reports

The ESAs' operational instructions and the CSSF's additions read as a list of common errors in DORA major incident reports. A field-by-field check of your runbook.

Written by Taft Compliance Group

Article

The Fed's GENIUS Act Proposals: What Board Supervision Costs an Issuer

The Federal Reserve's GENIUS Act proposals set capital, reserve, reporting and exam terms for Board-supervised stablecoin issuers: who is in scope and what it costs.

Written by Taft Compliance Group

Guide

What Is Quantum Compliance? Post-Quantum Readiness for Financial Firms in 2026

Quantum compliance is the governance work of finding every quantum-vulnerable public-key dependency a firm has and preparing to replace it in a documented order. In the United States the direction comes from NIST and the dates are 2030 and 2035, proposed for federal systems but already shaping private roadmaps. Supervisors in Switzerland, Hong Kong and the EU are moving faster.

Written by Taft Compliance Group

Guide

Audit Readiness Best Practices for Financial Firms

Preparation for exams and reviews: documentation, mock audits, remediation and control testing.

Written by Taft Compliance Group

Guide

Crypto Compliance Guide for Digital Assets

Frameworks for VASPs: token classification, the Travel Rule, custody and blockchain analytics in evolving regulation.

Written by Taft Compliance Group

Guide

Guide to AML Compliance for Fintechs and Funds

AML frameworks, risk assessments and sanctions screening under BSA/FinCEN/FATF; best practices for transaction monitoring and program design.

Written by Taft Compliance Group

Guide

What Is a Fractional CCO? Benefits and Implementation

Senior compliance leadership for lean teams: what a fractional CCO does, the benefits for fintechs and funds, and how to put one in place.

Written by Taft Compliance Group

Article

The Withdrawal of the SEC Proposed Cybersecurity Rule: What It Signals for Advisers

In June 2025 the SEC withdrew its proposed cybersecurity rule for registered investment advisers and funds. What the rule would have required, why it was withdrawn, and what still applies.

Written by Taft Compliance Group