Tag: SEC
AI governance gap puts financial firms at examination risk
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...
RegTech becomes non-negotiable for US investment managers
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...
Why AI recordkeeping is becoming a compliance risk
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 CUBE Read notes 3 shifts in financial services regulation
Risk and compliance functions in financial services are being asked to do more than watch the regulatory horizon, according to CUBE's latest fortnightly briefing,...
SEC AI checks put firms’ governance under scrutiny
The US Securities and Exchange Commission’s Division of Examinations has begun requesting information from financial firms about their use of artificial intelligence, according to...
Regulators punish firms for ignoring their own controls in Q2
Global regulators handed out more than $931m in penalties above the $1m mark during the second quarter of 2026, the largest quarterly total in...
Marketing teams can’t leave Reg S-P to security anymore
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,...
SEC turns up heat on AI and retail push in private...
The SEC's evolving regulatory agenda is forcing private fund managers to confront hard questions on AI governance, cybersecurity and the rapid retailization of private...
Why Merrill Lynch’s $7.5m penalty should worry AML teams
The US Securities and Exchange Commission (SEC) has fined Bank of America's Merrill Lynch business $7.5m after finding the firm failed to file numerous...
Why AI enforcement is coming for financial firms
AI governance in financial services is not a future problem but a present one, according to Brian Rubin, whose insights were shared in a...
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