Q4 2023 regulatory roundup: three things worth talking about
Here are the regulatory actions that caught my eye at the end of 2023: US executive order on AI, SEC proposed PDA rule, and...
Our latest brain waves on AI for marketing and compliance.
Here are the regulatory actions that caught my eye at the end of 2023: US executive order on AI, SEC proposed PDA rule, and...
Looking ahead to 2024, this blog explores key trends in the financial services regulatory space, including crypto, robo-advisers,...
Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and...
The AI boom, the evolving regulatory landscape, and an emphasis on trust and ethics are some of the biggest forces I see shaping...
The SEC's examination priorities for 2024 include a focus on the marketing rule, emerging technology, best interest regulations,...
RegTech is revolutionizing compliance in highly regulated industries like financial services. Here's an explainer on what it is...
Here are my three key lessons from NSCP about AI in personal and professional life, the pace of regulatory change, and the...
The EU and US have different approaches to regulating AI. However, they are working together to develop international AI standards...
The SEC's proposed PDA rule addresses potential conflicts of interest but also surfaces a number of complications, reactions to...
FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...
Here's my Q2 regulatory roundup from the SEC and FINRA: there's continued focus on crypto, recordkeeping, Reg BI, and consumer...
Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...