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.
Video formats: a real-time struggle for compliance reviews
While video formats are gaining favor with marketers, they can create headaches for compliance reviewers. But AI can help.
Regulatory recap: Q1 2023
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.