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...
Our latest brain waves on AI for marketing and compliance.
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...
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...