These days, artificial intelligence is everywhere we look, and the financial services industry is no different. As AI use increases, regulatory bodies are updating their rules and guidelines detailing how companies should and...more
12/17/2024
/ Artificial Intelligence ,
Banks ,
Bias ,
Broker-Dealer ,
Compliance ,
Discrimination ,
Financial Adviser ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Governance Standards ,
Government Agencies ,
Institutional Investors ,
Insurance Industry ,
Internal Communications ,
Investment Adviser ,
Investors ,
Machine Learning ,
New Rules ,
Policies and Procedures ,
Recordkeeping Requirements ,
Regulatory Requirements ,
Retail Investors ,
Securities
State unclaimed property audits are becoming more frequent. Is your company in compliance? State unclaimed property audits are becoming more frequent as states look for ways to increase revenue. There is a growing chance that...more
Noting Deficiencies, FINRA Suggests Best Practices for Reg BI Compliance -
During its first-ever review of compliance with Regulation Best Interest (Reg BI), the Financial Industry Regulatory Authority (FINRA) found...more