AI was top of mind at SIFMA C&L 2024
At SIFMA C&L 2024, AI took center stage with panels, use cases, and risk assessment discussions for compliance professionals. Here...
Our latest brain waves on AI for marketing and compliance.
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...