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...
What the US can learn from the EU’s first significant act on AI
Following the precedent set by the EU AI Act, US compliance officials should consider a risk-based approach to balance innovation...
The circle of compliance: a framework for continuous improvement
As compliance folks navigate emerging tech, here's a framework for continuous improvement so you can implement effective...
Q4 2023 regulatory roundup: three things worth talking about
Here are the regulatory actions that caught my eye at the end of 2023: US executive order on AI, SEC proposed PDA rule, and...
Responsible AI just makes sense
The EU's proposed AI regulations take a risk-based approach to help ensure innovation, safety, and a healthy financial ecosystem.
AI’s jagged frontier: conflicting research about AI’s capabilities
Is AI an SME? Does it boost productivity? What tasks is it best at? Here's what some of the AI research reveals.
AI is your daily companion, whether you know it or not
Discover how AI is already integrated into our daily lives, from smart home assistants to fraud detectors and email filters.
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,...
Four ethical principles for developing trustworthy AI
Human involvement, transparency, technical robustness, and bias mitigation can help businesses minimize AI risks and ensure...
AI's future: We've seen this movie before
Discover how AI is following a similar path to cloud computing and has the potential to become an embedded part of our daily lives.
New Executive Order impacts the training and testing of trustworthy AI
Learn how President Biden's executive order on AI aims to protect Americans from potential risks and what compliance officers can...
Continuing Membership Application (CMA) – newly improved!
Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and...