The SEC has created a new position on AI and examinations for broker-dealers and investment advisers. The move should signal to regulated entities that the SEC may begin applying more sophisticated AI tools to scour advertisements made by firms for false or misleading claims
Aaron Nicodemus
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass.
Email: aaron.nicodemus@complianceweek.com
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Posted inSurveys & Benchmarking
CCOs more likely to report to general counsel than any other executive, ITM survey finds
CCOs are more likely to report to the general counsel or legal department within their organization than to any other executive or governing body, according to the 2025 Inside the Mind of the CCO survey.
Posted inSurveys & Benchmarking
Does the compliance function influence business strategy in your organization? Two in every three compliance officers say yes.
Two of every three respondents to the Inside the Mind of the CCO survey reported that the compliance function influences business strategy within their organization.
Posted inWhistleblowers
Exclusive: Former Docusign executive sues company for whistleblower retaliation
A former Docusign executive alleged in a federal whistleblower lawsuit that the software company constructively discharged her after she blew the whistle on the company’s mishandling of sensitive data for customers, including Bank of America and Wells Fargo.
Posted inArtificial Intelligence
AI use cases in compliance: Real-world examples
AI is top of mind in compliance. CCOs and their teams are being asked to apply AI tools to compliance use cases in order to reduce manual processes, reduce costs, and reduce (or, in best cases, reallocate) headcount.
Posted inExcellence in Compliance Awards
Iberdrola wins 2026 Compliance Program of the Year
Over the past six years, Iberdrola–Europe’s largest electricity company–digitized the company’s compliance processes for its global footprint in 20 countries.
Posted inCompliance Week
Former CW staff writer Aly McDevitt wins business journalism award
McDevitt’s CW case study on Lafarge wins Regional Gold Medal in the Azbee Awards.
Posted inEthics & Culture
2026 Excellence in Compliance Awards – Compliance Innovator of the Year finalists
The three finalists for Compliance Innovator of the Year have applied technology to improve compliance messaging and training; to enhance ethical decision making; and to resolve key compliance issues.
Posted inEthics & Culture
2026 Excellence in Compliance Awards – CCO of the Year finalists
The three finalists for Compliance Week’s CCO of the Year come from varied backgrounds, but their stories align. Each finalist has worked to modernize their organization’s compliance program while simultaneously embedding compliance in business processes.
Posted inEthics & Culture
Compliance pros Lomax, Kim added to the Compliance Week Advisory Board
Compliance Week has added Dr. Hemma R. Lomax of DocuSign and Boon Kim Fam of PVH Corp to its Advisory Board.
