Building a GenAI Governance Framework: Takeaways from FINRA’s 2026 Oversight Report
GenAI can present risks for financial services. Read this summary of key risks and considerations for ways firms can strengthen AI...
Regulatory AI’s Expanding Role in AML/KYC
Explore how AI is revolutionizing AML/KYC in financial services, driving innovation in Banking-as-a-Service, and emphasizing...
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2026 Trends: AI and Compliance in Financial Services
AI is revolutionizing compliance. Discover 2026 trends in multi-agent systems, real-time monitoring, and balancing innovation with...
AI regulation is everywhere…including at the state level
State-level AI regulations are becoming more prevalent, particularly focusing on employment practices, with numerous states...
Compliance requirements for advertising Medicare Supplement Insurance products
Advertising Medicare Supplement Insurance requires compliance with detailed regulations to ensure truthful, non-misleading content...
Blending human expertise with AI for defensible surveillance decisions
Compliance can be enhanced by blending AI efficiency with human oversight, creating defensible surveillance decisions in financial...
Q2 Familiar compliance themes heat up for the Summer
Stay updated on recent regulatory actions in Q2, focusing on compliance themes like off-channel communications, misleading...
How do you spell that? Why accurate KYC/KYB risk systems need to look beyond spelling.
Discover how advanced AI-driven name-matching algorithms enhance KYC/KYB processes by accurately identifying individuals despite...
Compliance requirements for life insurance and annuity products
Understand how NAIC Model 570 and corresponding state regulations can be divided roughly into three separate types of compliance...
Impactful disruption with purpose—what I’m hearing at industry events
I believe industry events can inspire impactful disruption in financial crime prevention through innovative technologies and...
The new SEC leadership, data analytics, and artificial intelligence
Explore how the SEC's new leadership is shaping AI regulation in finance, affecting compliance, innovation, and operational...
