Tag: FINRA

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...

Financial services firms are becoming larger, more complex and increasingly interconnected, but that does not necessarily mean their compliance technology should follow the same...

AI governance in financial services is not a future problem but a present one, according to Brian Rubin, whose insights were shared in a...

New York's synthetic performer law may be narrow in scope, but it carries a broad operational warning for marketers: AI-generated people in advertising have...

The volume of marketing content flowing through financial services firms has reached a tipping point. Compliance teams, already stretched thin, are now contending with...

Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...

For anyone working in surveillance, records or risk at an EU-regulated financial services organisation, the past few months have brought a familiar mix of...

Artificial intelligence is fundamentally reshaping how organisations operate. Businesses across every sector are racing to deploy AI tools in pursuit of greater productivity, efficiency...