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...
What the US can learn from the EU’s first significant act on AI
Following the precedent set by the EU AI Act, US compliance officials should consider a risk-based approach to balance innovation...
The circle of compliance: a framework for continuous improvement
As compliance folks navigate emerging tech, here's a framework for continuous improvement so you can implement effective...
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...
Looking ahead: what to expect in 2024
Looking ahead to 2024, this blog explores key trends in the financial services regulatory space, including crypto, robo-advisers,...
Continuing Membership Application (CMA) – newly improved!
Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and...
Three trends in RegTech shaping the industry right now
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 exam priorities: insight into 2024?
The SEC's examination priorities for 2024 include a focus on the marketing rule, emerging technology, best interest regulations,...
What is RegTech?
RegTech is revolutionizing compliance in highly regulated industries like financial services. Here's an explainer on what it is...