Q1 2024 regulatory roundup: all things AI and enforcement
Q1 saw continued regulatory focus on artificial intelligence, with recent enforcements indicating AI is a regulatory priority.
Lessons learned in AI risk management from Compliance Week 2024
The hot topic at Compliance Week 2024 was AI risk management. To combat AI risks, compliance officers can implement frameworks,...
The EU AI Act has passed: Now what?
The EU AI Act is a signal to the world to pay attention to AI regulation. Here are the implications I see for firms worldwide.
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...
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...
Surprising survey data on who is (and isn’t) using AI
Our research revealed a surprising difference in AI usage between top executives and junior managers. Learn how they're using the...
Here’s why AI should be part of compliance reviews
Enabled by digitization and AI, new RegTech solutions are emerging to modernize compliance reviews to make them faster and a...
Top 3 reasons FinServ marketing & compliance leaders are bullish on AI
Discover why leaders are optimistic about AI: It can help enhance operations, save time and money, and improve efficiency in the...
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...
Six ways financial services firms use AI today
Our research reveals that financial firms are leveraging AI to help with many tasks, from big data analysis to chatbots and...
Could AI-generated data lead to model collapse? How to prevent it.
The emergence of generative AI and the use of AI-generated data have raised concerns about model collapse. What's the right mix of...
New name & guidance: 2024 FINRA Annual Regulatory Oversight Report
Here are the must-see topics from FINRA's 2024 Annual Regulatory Oversight Report including crypto, AI, off-channel...