Compliance requirements for life insurance and annuity products
Understand how NAIC Model 570 and corresponding state regulations can be divided roughly into three separate types of compliance...
Supervisory review is critical in financial advisory communications
Given the increased regulatory scrutiny of communications, here are considerations and suggestions for advisory firms to build...
A roadmap for implementing AML compliance for IAs
My short guide to implementing AML compliance for IAs covers key components, regulatory requirements, and practical steps for...
Three takeaways from Compliance Week’s AI and Compliance Summit
Key topics in the FinServ compliance space include opportunities and challenges for professionals, generative AI supervision, and...
It’s time to take your AML compliance programs off autopilot
Financial criminals are turning to AI to exploit weak IT protocols and carry out cyber attacks—but firms can use AI tools to fight...
Responsible innovation for AML/KYC compliance—have the courage to explore AI
Don't wait for an enforcement order or negative reputation event to update processes. Consider integrating AI in AML/KYC...
Harnessing the promise of AI to deliver real-time compliance
AI tools can enhance risk detection and improve regulatory adherence by providing real-time insights.
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...
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...
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.
Effective compliance risk management: part II
A healthy compliance program that includes a risk management program can provide a foundation for monitoring progress toward risk...
Effective compliance risk management: an essential function for the success of a compliance department: part I
For effective compliance risk management, identify, assess, and quantify risks, then implement a strategy designed to manage the...