Blending human expertise with AI for defensible surveillance decisions
Compliance can be enhanced by blending AI efficiency with human oversight, creating defensible surveillance decisions in financial...
Our latest brain waves on AI for marketing and compliance.
Compliance can be enhanced by blending AI efficiency with human oversight, creating defensible surveillance decisions in financial...
Stay updated on recent regulatory actions in Q2, focusing on compliance themes like off-channel communications, misleading...
Understand how NAIC Model 570 and corresponding state regulations can be divided roughly into three separate types of compliance...
Given the increased regulatory scrutiny of communications, here are considerations and suggestions for advisory firms to build...
My short guide to implementing AML compliance for IAs covers key components, regulatory requirements, and practical steps for...
Key topics in the FinServ compliance space include opportunities and challenges for professionals, generative AI supervision, and...
Financial criminals are turning to AI to exploit weak IT protocols and carry out cyber attacks—but firms can use AI tools to fight...
Don't wait for an enforcement order or negative reputation event to update processes. Consider integrating AI in AML/KYC...
AI tools can enhance risk detection and improve regulatory adherence by providing real-time insights.
A Saifr survey revealed the top concerns of compliance departments in financial services: workloads, knowledge gaps, and internal...
SEC risk alerts highlight areas that intertwine a firm’s marketing practices and scope, and can help firms pre-prepare for...
While video formats are gaining favor with marketers, they can create headaches for compliance reviewers. But AI can help.