A new report from the Financial Industry Regulatory Authority (FINRA) provides insights and observations from examiners on emerging issues affecting the industry, including surveilling potential use of off-channel communications by employees, crypto-asset developments, cybersecurity trends, and more.

Released Tuesday, the 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRAโ€™s Examination and Risk Monitoring Program, also provides guidance to member firms on implementing robust anti-money laundering, fraud, and sanctions screening programs and supervising issues related to the Securities and Exchange Commissionโ€™s (SEC) Regulation Best Interest and Form CRS regulations.

Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:...