What is SEC Rule 18a-6? Ensure you are ready for implementation
Last year, SEC Rule 18a-6 was amended alongside Rule 17a-4, marking the first time SBSDs and MSBSPs became subject to regulatory requirements around electronic recordkeeping. As the compliance date for this rule approaches, what steps do swap-dealers and participants need to take to ensure regulatory compliance?
CFTC Commissioner urges regulatory reforms to keep pace with technology
CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.
Pressing pause on AI: can regulation keep pace with innovation?
Elon Musk and other technology luminaries have called for a halt to the training of AI while governance systems are “rapidly accelerated”. The UK government has published its principles-based approach.
Generative AI: revolution or risk?
AI innovation continues to grow. We take a look at recent developments and speak to Global Relay’s Chief Data Scientist about the key concerns for compliance and finance.
Putting the AI in compliance: ChatGPT and FTC warnings
Developments in artificial intelligence have never been more prominent, but what are the compliance implications for fast-evolving AI?