Risk & Compliance Roundup: February Regulatory Brief, Emerging Risks in the Securities Industry
- February 14, 2025
- Quantivate
Welcome to your weekly roundup of risk and compliance management resources, brought to you by Ncontracts.
This edition covers topics including:
- Regulatory news & updates for February
- Emerging risks in wealth management
- Navigating 2025’s compliance landscape
New from the Nsight Blog
February Update: CFPB’s Flurry of Action and a Regulatory Freeze
Explore the latest compliance news and analysis from Ncontracts’ team of regulatory experts. This month’s overview covers:
- The new administration’s regulatory freeze
- The status of the Corporate Transparency Act (CTA)
- More compliance news and developments from the CFPB and NCUA
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Emerging Risks in the Securities Industry 2025
The securities industry is facing a wave of emerging risks in 2025, from AI-driven challenges and cybersecurity threats to stricter regulatory oversight. With the SEC and FINRA outlining new examination priorities, wealth management and investment advisory firms must stay ahead of compliance risks, third-party vulnerabilities, and evolving reporting requirements. This post breaks down key risks shaping the industry and compliance areas to watch in the year ahead.
Upcoming Webinar
2025 Regulatory Expectations & Enforcement
Stay ahead of 2025’s regulatory shifts with insights from Ncontracts’ compliance experts. In this webinar, we’ll explore notable enforcement actions from 2024, evolving supervisory priorities, and the potential impact of the new administration.
Register to reserve your seat or get access to the webinar recording after the live broadcast.