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...
Our latest brain waves on AI for marketing and compliance.
Here are the regulatory actions that caught my eye at the end of 2023: US executive order on AI, SEC proposed PDA rule, and...
The Summit for Asset Management, held in New York, explored how AI can be used to address the latest challenges in the regulatory...
Learn how responsible AI principles help strengthen brand credibility by promoting transparency, fairness, data security, and...
The EU and US have different approaches to regulating AI. However, they are working together to develop international AI standards...
SEC risk alerts highlight areas that intertwine a firm’s marketing practices and scope, and can help firms pre-prepare for...
Here's my Q2 regulatory roundup from the SEC and FINRA: there's continued focus on crypto, recordkeeping, Reg BI, and consumer...
Regulation best interests and off-channel communications were hot topics at the 2023 FINRA Annual Conference.
While video formats are gaining favor with marketers, they can create headaches for compliance reviewers. But AI can help.
As regulations evolve, it’s important to stay up to date. Here are findings from the SEC and FINRA that caught my eye in Q1 2023.