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SEC AI scrutiny exposes governance gaps in finance
Financial firms are facing growing pressure to demonstrate how artificial intelligence is being used, governed and disclosed as the US Securities and Exchange Commission’s...
Revolut’s €11.5m fine exposes FinTech’s silence problem
If the Revolut fine in Italy proves anything, it is that regulators police the gaps in financial promotions just as vigorously as the claims...
California retained its position as the main US RegTech hub attracting...
Key US RegTech investment stats in Q2 2026:
US RegTech deal activity dropped 10% QoQ in Q2
California retained its position as the main...
Why Marshmallow is betting on AI for FinProms compliance
Marshmallow has partnered with compliance technology provider Adclear to strengthen oversight of its financial promotions, as insurers face growing regulatory scrutiny under the FCA's...
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...
Reg S-P puts marketing teams’ AI workflows in the firing line
Regulation S-P has long been filed away as a matter for privacy officers, cybersecurity leads and legal counsel. That framing is now dangerously out...
Red Oak targets compliance bottleneck with 4U integration
Red Oak, a provider of compliance technology for financial services firms, has launched its Ad Review to 4U Connector, an integration designed to eliminate...
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...
Misleading marketing: SEC’s warning to fund managers
A recent US Securities and Exchange Commission (SEC) settlement with a Florida-based investment manager is serving as a reminder to the asset management industry,...
