Tag: marketing compliance

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to financial firms experimenting with generative AI: adoption is racing ahead, while governance...

Compliance teams across the financial sector are grappling with overwhelming volumes of communications. From emails to messaging apps, the daily flood of interactions now...

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...

Compliance teams in financial services are facing unprecedented pressure as communication volumes soar across chat apps, messaging platforms, and traditional email. Regulatory scrutiny continues...

The asset management sector is entering a new regulatory era, marked by heightened scrutiny and evolving marketing rules. In 2024 alone, the US SEC issued a record number of enforcement actions targeting fund marketing activities.

As artificial intelligence continues to transform industries, financial services firms are facing a familiar dilemma: should they build their own AI solutions or buy...

Sydney-based RegTech startup Haast has raised $6m in seed funding to expand its AI-powered compliance platform, with plans to enter the US market already underway.

Adclear, a RegTech startup focused on automating marketing compliance for fintech companies, has secured £510,000 in pre-seed funding.

Fintel Connect, a prominent leader in growth marketing for the financial sector, has recently unveiled Fintel Check for BaaS.