A new era: understanding the Jarkesy and Loper-Bright decisions
Supreme Court rulings in SEC v. Jarkesy and Loper-Bright Enterprises, Inc. v. Raimondo could redefine financial services...
Looking ahead: What to expect in 2025
Here are the regulatory changes I anticipate in 2025 for the SEC New Marketing Rule, AI investment advice, crypto, ESG, and more.
The role of AI in anti-money laundering: innovations and application
AI can transform AML efforts and safeguard the global financial system by enhancing detection accuracy and reducing false...
Record regulatory fines: two case studies
Facing record high fines in 2023, two firms exemplify the consequences of willful non-compliance and the importance of...
The SEC Marketing Rule: What you need to know
Here are the basics of the new SEC Marketing Rule: how it's different from previous guidelines and its impact on investment...
Looking ahead: what to expect in 2024
Looking ahead to 2024, this blog explores key trends in the financial services regulatory space, including crypto, robo-advisers,...
The SEC exam priorities: insight into 2024?
The SEC's examination priorities for 2024 include a focus on the marketing rule, emerging technology, best interest regulations,...
What does the SEC’s proposed predictive data analytics rule include?
The SEC's proposed PDA rule addresses potential conflicts of interest but also surfaces a number of complications, reactions to...
The pros and cons of LLMs for compliance
LLMs have the potential to revolutionize compliance processes and reviews, but they also present a set of unique challenges.
AI and compliance: finding balance
As AI transforms the financial industry, regulators are working to keep up, balancing innovation and consumer protection.
Looking ahead: 2023 and beyond
Looking into 2023, we expect that regulations will be shaped by factors including crypto, ESG, the SEC’s new marketing rule, and...