Artificial intelligence and compliance: finding balance
2023 marks an important year for the intersection of AI and financial regulation. As AI becomes more powerful and continues to transform the financial industry, regulators around the world are working to keep up with these developments, striking a balance between fostering innovation and protecting consumers.
Digital engagement practices: new rules or application of existing ones?
Whether digital engagement practices require their own breed of regulations or simply more creative applications of existing rules is yet to be determined. Regardless of the regulatory future, firms need to be prepared to be examined and investigated for their DEPs.
Finextra: The Future of Regulation, Risk Management, and Compliance 2023
Financial institutions are on course to find themselves caught in a perfect storm of risk and compliance-based challenges during 2023, as market-led trends, technology advancement, and regulatory shifts continue to dominate the headlines. Along with other industry experts, Saifr’s CEO and Co-founder, Vall Herard, provides insights.
How AI helps regulators protect and inform investors
Securities regulators have begun using AI in recent years, mostly for the purposes of predicting risk, determining which entities to examine, and aiding investors and customers. Here we discuss AI uses by the SEC and FINRA.
Regulatory recap: Q1 2023
As the regulatory landscape constantly adapts to new events, technologies, and concerns, it’s important to stay abreast of where policies stand and how they may impact your firm and your work. I regularly review reports and risk alerts from financial services regulators—here are the findings from the SEC and FINRA that caught my eye in the first few months of 2023.
Looking ahead: 2023 and beyond
As we look further into 2023 and beyond, we expect that regulations will be shaped by a number of factors, both past and present, including crypto, ESG, the SEC’s new marketing rule, and AI.