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FINRA swaps watchdog bite for neighbourly nudge
A year on from predictions that Washington's deregulatory mood would soften America's markets regulator, FINRA's own progress report suggests the forecast has landed.
According to...
Why compliance teams can’t wait for AI-specific regulation
Financial regulators across the US, UK and UAE are converging on a single message: existing rules already apply to artificial intelligence, and firms cannot...
Regulation S-P deadline exposes gaps in manager compliance
US investment managers are discovering that 2026's regulatory landscape offers no shortcuts, even as the SEC signals a more targeted approach to enforcement. The...
Financial firms face AI scrutiny without new rules
Financial firms are making major decisions about artificial intelligence before regulators have established a dedicated rulebook for the technology. But the absence of AI-specific...
Why ‘confidently wrong’ AI is compliance’s biggest threat
The question sharp compliance leads ask about Karavel is rarely about features. Instead, it cuts deeper: how do they know the AI will not...
Why AI governance is now a regulatory battleground
AI governance in financial services is no longer a distant concern, according to a new fireside conversation hosted by RegTech firm Red Oak Compliance,...
Synthetic performer law raises stakes for AI advertising
New York's new synthetic performer law may be narrow in scope, but it carries a far-reaching lesson for marketing and compliance teams: AI-generated people...
The compliance bottleneck AI can finally fix
Marketing and compliance teams across the financial services sector are under mounting pressure. Channel proliferation, AI-accelerated content production, and an ever-shifting regulatory landscape are...
Global fines hit $542m in Q1 2026 amid data crackdown
Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...
What the EU AI Act means for your recording estate
If you work in surveillance, records or risk at a financial services firm operating in or adjacent to the EU, you have probably spent...
