Enforcements are the theme of the quarter
In Q3 2024, the SEC and FINRA focused on social media marketing enforcements, emphasizing transparency and accuracy to protect...
What Financial Advisors can learn from the SEC's Marketing Rule enforcement
In enforcing the Marketing Rule, the SEC has focused on transparency and factuality regarding conflicts of interest, third-party...
Q2 2024 roundup: three regulatory hotspots
Generative AI, AML scrutiny, and loan misrepresentations were some of the regulatory hotspots this quarter.
Marketing regulatory principles transcend products and jurisdictions
From securities to life insurance, marketing regulations align across states and products and focus on promoting truthfulness and...
Thoughts on FINRA's 2024 Annual Conference as a panelist & attendee
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
Q1 2024 regulatory roundup: all things AI and enforcement
Q1 saw continued regulatory focus on artificial intelligence, with recent enforcements indicating AI is a regulatory priority.
Lessons learned in AI risk management from Compliance Week 2024
The hot topic at Compliance Week 2024 was AI risk management. To combat AI risks, compliance officers can implement frameworks,...
The EU AI Act has passed: Now what?
The EU AI Act is a signal to the world to pay attention to AI regulation. Here are the implications I see for firms worldwide.
AI was top of mind at SIFMA C&L 2024
At SIFMA C&L 2024, AI took center stage with panels, use cases, and risk assessment discussions for compliance professionals. Here...
Record regulatory fines: two case studies
Facing record high fines in 2023, two firms exemplify the consequences of willful non-compliance and the importance of...
The SEC Marketing Rule: What you need to know
Here are the basics of the new SEC Marketing Rule: how it's different from previous guidelines and its impact on investment...
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...