Data

AI’s impact on the financial industry – SEC speaks to its risks, revolutionization, and everything in between

The SEC’s Chairman Gary Gensler recently spoke about the challenges and benefits AI presents to the financial world on a micro and macro level. Ensure you’re on track to identify, adapt, and manage these points as this technology rapidly develops for compliance teams.

Car Crash or New Superhighway? – AI, Audits, Accountability, and the FCA

A recent speech from the Chief Executive of the FCA has outlined their direction of travel on Big Tech and AI regulation. But with the FCA itself being audited on its effectiveness as a ‘digital regulator’, what does this mean for organizations and accountability?

Mail disorder – J.P. Morgan Fined by SEC for deletion of 47million communications

The financial services giant has been fined $4 million and censured for the permanent deletion of communications data that was required to be retained under Exchange Act rules.

Marketing Compliance – One Rule to Rule Them All

The marketing department may be your least-expected area of compliance risk. The regulators are on to it, and you should be too. We set out five critical questions for confident compliance with new marketing rules.

OCC Semiannual Report Puts Banking Risks in Perspective

The Office of the Comptroller of the Currency’s report has highlighted the key areas of risk that banks need to manage to stay resilient and maintain confidence – and counseled against complacency.

Is Regulation Keeping Pace with AI Innovation?

The SEC’s recently laid out rule-writing agenda shows they have AI in their sights. But is the speed of technological innovation outpacing regulation?

SEC drops 42 cases after record control failures

The SEC has dismissed 42 cases under investigation after it failed to properly manage internal records access procedures and controls.

“Responsible experimentation”: will Boston’s AI blueprint lay foundation for future approach?

The City of Boston has unveiled new guidelines for generative AI, which some are touting as the blueprint for future approaches. We take a look at what the new guidelines mean, and how compliance teams can navigate AI risks safely.

When it comes to safety and privacy for electronic communications data, location is everything

Global Relay’s Senior Writer for Due Diligence, Vince Mendoza, reflects on the importance of location when storing electronic communications data.