Topic

Audit Trail

Feature card on the SEC’s 14 September 2026 Risk Alert on annual compliance reviews under Rule 206(4)-7, noting years with no review and inconsistencies that advisers did not identify.

Annual compliance reviews under Rule 206(4)-7: the SEC Risk Alert of September 2026

The SEC’s September 2026 Risk Alert sets out issues examiners observed regarding adviser annual compliance reviews, including how advisers documented them.

Edward Sweigart· Oct 8, 2026 · 12 min read

Six regulators — FINRA, FCA, CSA, ASIC, FMA, ESMA — around one point: AI marketing content was already regulated.

AI Compliance

Your AI-Generated Marketing Content Was Already Regulated

FINRA named it a priority, but six regulators across five jurisdictions had already regulated it. Same conclusion, different frameworks.

Edward Sweigart· Jun 16, 2026 · 9 min read