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...
Q4 2023 regulatory roundup: three things worth talking about
Here are the regulatory actions that caught my eye at the end of 2023: US executive order on AI, SEC proposed PDA rule, and...
TSAM in NYC highlights the potential of AI in compliance
The Summit for Asset Management, held in New York, explored how AI can be used to address the latest challenges in the regulatory...
The role of responsible AI principles in building brand trust
Learn how responsible AI principles help strengthen brand credibility by promoting transparency, fairness, data security, and...
AI regulations in the EU and US: a tale of two views
The EU and US have different approaches to regulating AI. However, they are working together to develop international AI standards...
SEC Risk Alerts help firms prepare
SEC risk alerts highlight areas that intertwine a firm’s marketing practices and scope, and can help firms pre-prepare for...
Q2 2023 regulatory roundup: a continued focus on popular themes
Here's my Q2 regulatory roundup from the SEC and FINRA: there's continued focus on crypto, recordkeeping, Reg BI, and consumer...
Thoughts on the FINRA Annual Conference: Reg BI and off–channel communications take center stage
Regulation best interests and off-channel communications were hot topics at the 2023 FINRA Annual Conference.