◆ The Daily Brief
Enforcement actions, regulatory deep dives, and the frameworks worth your time. Updated weekdays. 305+ articles in the archive.
● Live · Updated daily
SEC · DOJ · OCC · FFIEC enforcement
Breaking Regulatory Compliance
Robert Newell raised $37M for cannabis funds and used investor money to pay earlier investors. Here's the May 2026 SEC judgment and what private-fund advisers should learn from it.
By Rebecca Leung · May 15, 2026
◆ Models · Governance · NIST AI RMF
Long form · Updated weekly
Feature · AI Risk
The EU AI Act's Digital Omnibus deal, reached May 7, 2026, defers Annex III high-risk AI obligations from August 2, 2026 to December 2, 2027. Here's what changed, what didn't, and how financial services AI teams should use the extra 16 months.
By Rebecca Leung · May 14, 2026
◆ RCSA · KRIs · TPRM · Compliance Strategy
Frameworks · Deep dives
Feature · Compliance Strategy
A structural template for fintech acceptable use policies — covering the seven sections every AUP needs, a three-tier decision table, an approval path for restricted customers, and monitoring triggers that hold up to sponsor bank and examiner scrutiny.
By Rebecca Leung · May 17, 2026
◆ Data privacy laws · Incident response
State laws · IR playbooks
Feature · Incident Response
A practitioner's guide to the federal banking agencies' computer-security incident notification rule — what triggers the 36-hour clock, the two-tier framework for banks vs. bank service providers, and the gray areas that catch incident response teams off guard.
By Rebecca Leung · May 14, 2026
◆ BCP · DR · Operational continuity
BCP · Disaster recovery
Feature · Business Continuity
Your BCP has 60 pages on recovery procedures and three paragraphs on communication. Here's what regulators actually test, the four audience streams every plan needs, and the pre-approved templates to build before the crisis hits.
By Rebecca Leung · May 12, 2026
305 posts in total