Home Tags FINRA
Tag: FINRA
The retention myth tripping up FinTech compliance teams
Communications compliance is no longer defined by a single rulebook. It is shaped by a patchwork of regimes, each built for a different market,...
Reg S-P deadline puts vendor oversight in the spotlight
Hungarian writer Frigyes Karinthy's 1929 theory that any two people are connected by a short chain of acquaintances was tested by Stanley Milgram in...
Why compliance approval and supervision aren’t the same
Content approval can establish whether an advert or communication meets a firm's compliance requirements before distribution. But once advisers begin reusing, adapting or discussing...
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...
