Seven elements of ethical AI to guide its implementation by compliance
Learn about the EU's seven principles of ethical AI and how they can help compliance officers responsibly implement AI tools and...
Dispelling common misperceptions about AI
Misperceptions about AI abound. Will it take our jobs? Replace human creativity? Have superhuman intelligence? (Spoiler alert: the...
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...
Harnessing the power of AI: applications and benefits in RegTech
There are numerous applications and benefits of AI in financial services, including compliance monitoring, risk management, and...
What does human in the loop mean?
Why is it important to keep humans in the loop with AI? Learn how human input improves accuracy, mitigates bias, and helps ensure...
A quest for the better LLM
Understand the opportunities and trade-offs of open-source and closed-source LLMs. How can firms balance challenges to utilize...
The real impact of AI: what the studies reveal
Two studies reveal the real impact of AI in the workplace. Learn how it can boost productivity, upskill junior workers, and...
SEC Risk Alerts help firms prepare
SEC risk alerts highlight areas that intertwine a firm’s marketing practices and scope, and can help firms pre-prepare for...
FINRA sweeps contain more than you think
FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...
Q2 2023 regulatory roundup: a continued focus on popular themes
Here's my Q2 regulatory roundup from the SEC and FINRA: there's continued focus on crypto, recordkeeping, Reg BI, and consumer...
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.
The AI journey: What’s next?
What's next for AI? With action-oriented AI, computers can interact with the world, drawing conclusions and making predictions...