Navigating the challenges of AI integration in financial services
The integration of RAG in AI systems holds immense potential for the financial services sector, but must be handled with diligence.
Thoughts on FINRA's 2024 Annual Conference as a panelist & attendee
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
Why context is a catalyst to faster, better marketing communications
Considering the full-picture context of a piece of marketing content can help it get approved by compliance more smoothly.
Budgets, channels, and turnaround times: top concerns of marketing
Learn how marketing departments manage content creation challenges including budget decisions, a growing list of platforms, and...
Compliance concerns: Workloads, knowledge gaps, and separate systems
A Saifr survey revealed the top concerns of compliance departments in financial services: workloads, knowledge gaps, and internal...
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...