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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,...
FINRA warns firms on AI governance risks in 2026 report
FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to the financial services industry: the pace of GenAI adoption is outstripping the...
Why compliance needs humans in the AI loop
Compliance teams across the financial sector are facing an unprecedented challenge. With staff expected to review an avalanche of emails, instant messages, and chats...
SEC action highlights marketing and compliance risks
The US Securities and Exchange Commission (SEC) has recently issued an order that underscores the Atkins administration’s focus on marketing accuracy, robust recordkeeping, and...
Human-AI collaboration reshapes compliance surveillance
Compliance teams in financial services are under unprecedented strain. The explosion in digital communications—from emails to chat apps—has pushed the volume of data requiring...
AI meets legal precision in Zeidler’s MMR-Tool
As regulatory scrutiny in the asset management sector intensifies, Zeidler Group is stepping up with an AI-powered solution that promises to transform compliance.