Q2 2024 roundup: three regulatory hotspots
Generative AI, AML scrutiny, and loan misrepresentations were some of the regulatory hotspots this quarter.
Our latest brain waves on AI for marketing and compliance.
Generative AI, AML scrutiny, and loan misrepresentations were some of the regulatory hotspots this quarter.
From securities to life insurance, marketing regulations align across states and products and focus on promoting truthfulness and...
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
Q1 saw continued regulatory focus on artificial intelligence, with recent enforcements indicating AI is a regulatory priority.
The hot topic at Compliance Week 2024 was AI risk management. To combat AI risks, compliance officers can implement frameworks,...
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.
At SIFMA C&L 2024, AI took center stage with panels, use cases, and risk assessment discussions for compliance professionals. Here...
Facing record high fines in 2023, two firms exemplify the consequences of willful non-compliance and the importance of...
Here are the basics of the new SEC Marketing Rule: how it's different from previous guidelines and its impact on investment...
Here are the must-see topics from FINRA's 2024 Annual Regulatory Oversight Report including crypto, AI, off-channel...
Following the precedent set by the EU AI Act, US compliance officials should consider a risk-based approach to balance innovation...
As compliance folks navigate emerging tech, here's a framework for continuous improvement so you can implement effective...