Tag: marketing compliance

Regulation S-P has long been filed away as a problem for privacy officers, cybersecurity teams and legal departments. That assumption is now a liability,...

Red Oak, a compliance technology provider for financial services firms, has launched its Ad Review to 4U Connector, an integration designed to remove the...

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...

The US Securities and Exchange Commission (SEC) has settled with a Florida-based investment manager over fraud and misleading investor disclosures, serving as a stark...

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.