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...
Invest in quality data to make AI work for you
Generative AI works best when designed for specific contexts—which means your firm’s data could hold massive potential.
FINRA’s updated cycle exam program: What you need to know
Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...
Four important capabilities of today’s AI
Four capabilities that enable today’s AI to perform: foundation models, transformer architecture, emergent capabilities, and...
Thoughts on the FINRA Annual Conference: Reg BI and off–channel communications take center stage
Regulation best interests and off-channel communications were hot topics at the 2023 FINRA Annual Conference.
Four questions to ask when evaluating an AI tool
Picking the right AI application for your business can be challenging. Here are four questions to help you make an informed...
Video formats: a real-time struggle for compliance reviews
While video formats are gaining favor with marketers, they can create headaches for compliance reviewers. But AI can help.
Continuous measurement of AI: Are you getting the right outcomes?
AI is really just sophisticated probabilities: aka math. But how are models measured? Measurement of AI is critical to a model's...
Garbage in, garbage out: Why data quality is critical to AI
Since AI models are designed to process and make decisions based on data, data quality is critical to the model's accuracy and...