Supervisory review is critical in financial advisory communications
Given the increased regulatory scrutiny of communications, here are considerations and suggestions for advisory firms to build...
A quick review of SEC and FINRA regulatory exam priorities for 2025
Here are my takeaways from the SEC and FINRA's 2025 exam priorities, focusing on investment advisers, AI, Reg S-P, Reg BI, and...
A new era: understanding the Jarkesy and Loper-Bright decisions
Supreme Court rulings in SEC v. Jarkesy and Loper-Bright Enterprises, Inc. v. Raimondo could redefine financial services...
Looking ahead: What to expect in 2025
Here are the regulatory changes I anticipate in 2025 for the SEC New Marketing Rule, AI investment advice, crypto, ESG, and more.
Q4 wraps up with SEC Exam Priorities and Risk Alert
In Q4 2024, the SEC issued a Risk Alert and released its 2025 Exam Priorities, both of which signal what might be regulatory focus...
The state of AI—agentic—and where I see AI headed from here
Learn the evolution of AI from large language models to agentic AI, emphasizing planning, tools, and regulatory compliance for...
A roadmap for implementing AML compliance for IAs
My short guide to implementing AML compliance for IAs covers key components, regulatory requirements, and practical steps for...
Saifr’s mission: Make AI safer
Here's how our collaboration with Microsoft aims to enhance compliance in the financial services industry through innovative AI...
AI’s double act: where quick wit meets deep thought
Explore the dual approach to AI that combines rapid intuition with deep analytical thinking to revolutionize complex...
Harnessing the power of Gen AI for evaluating AI systems
LLMs, a type of Gen AI, can be used to help evaluate AI solutions, from stress testing to test set generation.
Three takeaways from Compliance Week’s AI and Compliance Summit
Key topics in the FinServ compliance space include opportunities and challenges for professionals, generative AI supervision, and...
Enforcements are the theme of the quarter
In Q3 2024, the SEC and FINRA focused on social media marketing enforcements, emphasizing transparency and accuracy to protect...