Home Tags Supervision
Tag: supervision
How certified Zoom integrations prevent compliance gaps
Regulated firms have made Zoom central to day-to-day communication, but the compliance risk often sits in the integration layer rather than the user experience.
Supervisors...
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...
New SEC guidance on transaction-based compensation
For years, many industries have used separate business entities to receive compensation on behalf of independent contractors, often for tax reasons or administrative efficiency....
Governing AI-generated communications in finance
Artificial intelligence is no longer a silent tool in the background—it’s now an active participant in business communications. From composing emails and client proposals...



