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Those Who Watch the Watchers: Evolving Enforcement Trends in Financial Industry Surveillance Programs  


Author:  Amy Jane Longo.; Desiree Pelletier.; Erin Stewart.


Source: Volume 58, Number 16, September 15 2025 , pp.211-218(8)




Review of Securities & Commodities Regulation

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Abstract: 

This article provides a comprehensive overview of the regulatory landscape governing surveillance compliance programs in the financial industry. It highlights the stated priorities of financial regulators, recent notable enforcement actions, and the emerging role of artificial intelligence in enhancing surveillance programs. Articulating the importance of establishing and maintaining comprehensive and effective surveillance programs to ensure adherence to numerous regulations at different levels, the article also discusses the impact of technological advancements on surveillance programs, rising expectations for compliance standards, and potential areas of focus for the current administration.

Keywords: Surveillance Compliance Programs; Current SEC and FINRA Priorities; Failure to Supervise; Insider Trading Controls; Artificial Intelligence

Affiliations:  1: Ropes & Gray LLP; 2: Ropes & Gray LLP; 3: Ropes & Gray LLP.

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