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Daily Compliance News: April 22, 2025, The Upping Your Game Edition
Artificial Intelligence (AI) has been touted as the answer to a multitude of business challenges. However, AI – along with machine learning and large language models (LLMs) – is still fraught with technical and regulatory...more
The Financial Industry Regulatory Authority, Inc. (“FINRA”) published its 2025 FINRA Annual Regulatory Oversight Report (the “Report”), which builds on the structure and content of FINRA’s prior reports for 2021-2024. This...more
Many companies are in the midst of preparing their year-end Annual Reports on Form 10-K and looking ahead to their annual meeting of shareholders. In addition to changes to rules, regulations and disclosure trends, the...more
On January 28, FINRA published its 2025 FINRA Regulatory Oversight Report, which highlights areas identifying compliance gaps and observing emerging risks. The report introduced new topics such as the third-party risk...more
Looking for something more advanced than your average export controls conference? Go beyond the basics at ACI’s 2nd Annual Advanced Forum on Global Export Controls. This premier event offers cutting-edge insights and...more
The latest edition of Directors Quarterly features a summary of board and committee agenda priorities for 2025, financial reporting and auditing updates, post-election observations from around the world, and more. Read the...more
With the 2025 annual reporting season upon us, public companies should consider potential updates to their risk factors for their Form 10-Ks and 20-Fs in light of recent economic, political, technological, and regulatory...more
The Securities and Exchange Commission (SEC) is increasing its scrutiny on artificial intelligence (AI)-related disclosures; therefore, companies must tread carefully as year-end reporting season approaches. Specifically,...more
Drawing on insights from our interactions with audit committees and business leaders, the KPMG Board Leadership Center highlights nine issues for the audit committee to consider for the year ahead....more
To kick off the New Year (and as is now tradition, since we put out a similar Recap & Forecast last year), Sheppard Mullin’s Governmental Practice Cybersecurity & Data Protection Team has prepared a cybersecurity-focused 2024...more
This guide discusses important themes and trends for the coming annual reporting season. It also includes a “housekeeping checklist” designed to assist you as you prepare your annual report. ANNUAL CYBERSECURITY...more
On December 3, 2024, the US Food and Drug Administration (FDA) published final guidance titled, Marketing Submission Recommendations for a Predetermined Change Control Plan for Artificial Intelligence-Enabled Device Software...more
With the second Trump Administration set to take power in January 2025, one can expect a pendulum swing in many aspects of technology policy. For example, while it is expected that President Trump will will continue efforts...more
In two recent rules, the Department of Commerce, Bureau of Industry and Security (BIS) has begun to take significant steps to monitor, and potentially control access to, U.S. artificial intelligence (AI) technology. AI...more
Companies deploying high-risk artificial intelligence (AI) systems must prepare to navigate a complex landscape of new obligations by August 2, 2026. In this post we explain the key obligations for providers and deployers of...more
On October 16, 2024, the New York State Department of Financial Services (DFS) issued an industry letter providing guidance on how DFS-regulated entities (covered entities) should be evaluating and responding to artificial...more
On September 11, 2024, the U.S. Department of Commerce’s Bureau of Industry and Security (BIS) published a proposed rule that would create a mandatory quarterly reporting requirement for U.S. persons and U.S. entities that...more
Artificial intelligence (AI) has made waves across various industries, and wealth management is no exception. AI’s ability to analyze vast amounts of data and generate insightful reports has the potential to significantly...more
The federal government is the biggest purchaser in America and that extends to the SaaS space. On September 24, 2024, the Office of Management and Budget (OMB) released Memorandum M-24-18, offering updated guidelines for the...more
WHAT: On September 24, 2024, the Office of Management and Budget (OMB) issued Memorandum M-24-18, which prescribes requirements and guidance on the responsible acquisition of artificial intelligence (AI) in the federal...more
On September 23, 2024, the US Department of Justice (DOJ) updated its Evaluation of Corporate Compliance Programs guidance (ECCP). Changes to the ECCP build on themes that the DOJ has been emphasizing for some time, including...more
Across industries, companies are facing new and uncertain regulatory pressures and demands in areas including artificial intelligence, sustainability, algorithmic pricing and fintech-bank relations. In this issue of The...more
In this blog post, we will focus on obligations that the European Union’s Artificial Intelligence Act (AI Act) sets for deployers, providers, importers and distributors regarding high-risk AI systems....more
On May 17, 2024, Colorado enacted S.B. 24-205 (the "Act"), which imposes a duty of reasonable care on developers and deployers of high-risk artificial intelligence ("AI") systems to protect consumers from risks of algorithmic...more
Key Points - Colorado's new Al law creates new obligations for developers and deployers of high-risk artificial intelligence (Al) systems. Similar to the EU Al Act, the law is risk-based and defines a "high-risk" Al system as...more