The Future of Compliance Isn't Continuous KYC. It's Continuous Risk Awareness.
Continuous risk awareness is reshaping AML/KYC and compliance. See how AI, automation and ongoing monitoring help firms detect...
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2026 Trends: AI and Compliance in Financial Services
AI is revolutionizing compliance. Discover 2026 trends in multi-agent systems, real-time monitoring, and balancing innovation with...
AI regulation is everywhere…including at the state level
State-level AI regulations are becoming more prevalent, particularly focusing on employment practices, with numerous states...
Compliance requirements for advertising Medicare Supplement Insurance products
Advertising Medicare Supplement Insurance requires compliance with detailed regulations to ensure truthful, non-misleading content...
The new SEC leadership, data analytics, and artificial intelligence
Explore how the SEC's new leadership is shaping AI regulation in finance, affecting compliance, innovation, and operational...
General compliance requirements for insurance advertising
Understand the compliance requirements for insurance advertising and the importance of adhering to them to avoid penalties and...
Regulatory ripple effects abound in Q1
Explore the recent regulatory changes affecting the SEC and CFPB, and their implications for financial services and consumer...
Navigating consumer protection: the role of Regulation Z in consumer credit marketing
This blog compares Regulation Z's consumer credit marketing rules to securities regulations, highlighting shared principles across...
A quick review of SEC and FINRA regulatory exam priorities for 2025
Here are my takeaways from the SEC and FINRA's 2025 exam priorities, focusing on investment advisers, AI, Reg S-P, Reg BI, and...
A new era: understanding the Jarkesy and Loper-Bright decisions
Supreme Court rulings in SEC v. Jarkesy and Loper-Bright Enterprises, Inc. v. Raimondo could redefine financial services...
Looking ahead: What to expect in 2025
Here are the regulatory changes I anticipate in 2025 for the SEC New Marketing Rule, AI investment advice, crypto, ESG, and more.
Q4 wraps up with SEC Exam Priorities and Risk Alert
In Q4 2024, the SEC issued a Risk Alert and released its 2025 Exam Priorities, both of which signal what might be regulatory focus...