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...
What Financial Advisors can learn from the SEC's Marketing Rule enforcement
In enforcing the Marketing Rule, the SEC has focused on transparency and factuality regarding conflicts of interest, third-party...
How AI-assisted entity resolution can help you reduce risk
Learn how AI can enhance detection of bad actors, improve AML/KYC processes, and minimize false positives for your compliance team.
It’s time to take your AML compliance programs off autopilot
Financial criminals are turning to AI to exploit weak IT protocols and carry out cyber attacks—but firms can use AI tools to fight...