Survey: How continuous monitoring may help sharing-economy service providers grow
Continuous monitoring can enhance trust and safety in the sharing economy, fostering consumer confidence and driving growth for...
General compliance requirements for insurance advertising
Understand the compliance requirements for insurance advertising and the importance of adhering to them to avoid penalties and...
Survey: How does trust influence consumer choice in sharing- and gig-economy services?
Learn how trust influences consumer choice in gig-economy services, focusing on safety, cost, and quality, based on a survey of...
Regulatory ripple effects abound in Q1
Explore the recent regulatory changes affecting the SEC and CFPB, and their implications for financial services and consumer...
Navigating consumer protection: the role of Regulation Z in consumer credit marketing
This blog compares Regulation Z's consumer credit marketing rules to securities regulations, highlighting shared principles across...
Supervisory review is critical in financial advisory communications
Given the increased regulatory scrutiny of communications, here are considerations and suggestions for advisory firms to build...
A quick review of SEC and FINRA regulatory exam priorities for 2025
Here are my takeaways from the SEC and FINRA's 2025 exam priorities, focusing on investment advisers, AI, Reg S-P, Reg BI, and...
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.
Q4 wraps up with SEC Exam Priorities and Risk Alert
In Q4 2024, the SEC issued a Risk Alert and released its 2025 Exam Priorities, both of which signal what might be regulatory focus...
The state of AI—agentic—and where I see AI headed from here
Learn the evolution of AI from large language models to agentic AI, emphasizing planning, tools, and regulatory compliance for...
A roadmap for implementing AML compliance for IAs
My short guide to implementing AML compliance for IAs covers key components, regulatory requirements, and practical steps for...