Tag: FINRA

US investment managers expecting a more relaxed regulatory environment in 2026 may need to reconsider. Regulatory scrutiny remains focused on investor protection, fiduciary responsibilities...

Investment advisers that rely on annual compliance reviews risk overlooking gaps between written policies and day-to-day practices, according to a recent Risk Alert from...

Artificial intelligence is no longer sitting quietly in the background of the modern workplace. AI assistants, meeting notetakers and agentic tools are now active...

Regulated organisations no longer answer to a single communications compliance rule. Instead, they sit beneath a web of overlapping regimes, each drafted for a...

Compliance teams have traditionally treated content approval as the point where marketing and communications risk is addressed. An advert, email or social media post...

Back in early 2025, the LeGaye Law Firm wrote, “The Financial Industry Regulatory Authority (FINRA), while not a federal agency, operates under the supervision...

Financial regulators across the US, UK and UAE are converging on a single message: firms do not need to wait for AI-specific rules before...

US investment managers are being warned that 2026's regulatory landscape is not lighter, just sharper, as the SEC narrows its focus to fraud and...

Financial firms are making decisions about artificial intelligence before regulators have established an AI-specific rulebook. But according to Red Oak Analysis, the absence of...

The question sharp compliance leads ask about Karavel is rarely about features. Instead, it cuts deeper: how do they know the AI will not...