MyComplianceOffice Blog

The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory Oversight Report, providing crucial insights into the regulatory landscape for member firms. This year's report covers a broad range of topics, including some new areas of focus plus perennial areas of regulatory concern.

Financial services firms are among the most heavily regulated organizations worldwide. From the FCA to the SEC to ESMA to MAS and beyond, financial services firms are subject to a web of compliance requirements and obligations. It’s not enough to simply be compliant with these requirements—each firm has to be able to prove it.

That’s where compliance certifications and attestations come into play.