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...
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...
Q2 2024 roundup: three regulatory hotspots
Generative AI, AML scrutiny, and loan misrepresentations were some of the regulatory hotspots this quarter.
Why context is a catalyst to faster, better marketing communications
Considering the full-picture context of a piece of marketing content can help it get approved by compliance more smoothly.
Budgets, channels, and turnaround times: top concerns of marketing
Learn how marketing departments manage content creation challenges including budget decisions, a growing list of platforms, and...
Compliance concerns: Workloads, knowledge gaps, and separate systems
A Saifr survey revealed the top concerns of compliance departments in financial services: workloads, knowledge gaps, and internal...
Q1 2024 regulatory roundup: all things AI and enforcement
Q1 saw continued regulatory focus on artificial intelligence, with recent enforcements indicating AI is a regulatory priority.
The EU AI Act has passed: Now what?
The EU AI Act is a signal to the world to pay attention to AI regulation. Here are the implications I see for firms worldwide.
Surprising survey data on who is (and isn’t) using AI
Our research revealed a surprising difference in AI usage between top executives and junior managers. Learn how they're using the...
Here’s why AI should be part of compliance reviews
Enabled by digitization and AI, new RegTech solutions are emerging to modernize compliance reviews to make them faster and a...
Top 3 reasons FinServ marketing & compliance leaders are bullish on AI
Discover why leaders are optimistic about AI: It can help enhance operations, save time and money, and improve efficiency in the...
Six ways financial services firms use AI today
Our research reveals that financial firms are leveraging AI to help with many tasks, from big data analysis to chatbots and...