Thoughts on FINRA's 2024 Annual Conference as a panelist & attendee
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
Our latest brain waves on AI for marketing and compliance.
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...
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,...