Aidan McNally
Senior Compliance Associate
Aidan McNally, Senior Compliance Associate, focuses on supporting Essential Edge's broker-dealer and hybrid clients with a wide range of outsourced compliance functions, including branch exams, AML exams, supervision and the development of policies & procedures.
Articles by Aidan McNally
Regulation S-P Updates
The Securities Exchange Commission’s (SEC) long-awaited Regulation S-P updates are being rolled out. These policies were effective for large firms on December 3rd, 2025. Smaller firms have until June 3rd, 2026, to implement these policies.
SEC 2026 Examination Priorities: an Essential Summary
Each year, the Securities and Exchange Commission (SEC) publishes their annual examination priorities to encourage firms to direct their compliance efforts in these areas.
FINRA’s Modernization: the “FINRA Forward” Initiative
Robert Cook, President and CEO of FINRA, recently published a blog featuring an update on the FINRA Forward Initiative, elaborating upon how enforcement practices are evolving.