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...
Our latest brain waves on AI for marketing and compliance.
In enforcing the Marketing Rule, the SEC has focused on transparency and factuality regarding conflicts of interest, third-party...
Financial criminals are turning to AI to exploit weak IT protocols and carry out cyber attacks—but firms can use AI tools to fight...
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
At SIFMA C&L 2024, AI took center stage with panels, use cases, and risk assessment discussions for compliance professionals. Here...
Here are the must-see topics from FINRA's 2024 Annual Regulatory Oversight Report including crypto, AI, off-channel...
Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and...
FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...
Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...
A healthy compliance program that includes a risk management program can provide a foundation for monitoring progress toward risk...
For effective compliance risk management, identify, assess, and quantify risks, then implement a strategy designed to manage the...