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
Artificial Intelligence
Posted inBest Practices
Regulators are likely to pass laws on AI use in healthcare. Here’s how to prepare
Artificial intelligence tools hold breathtaking potential in the healthcare ecosystem.
Posted inBest Practices
The hidden compliance cost of building AI-based AML tools in-house
“We can build that internally” sounds like control and savings — until the subject is AML risk assessment technology. A simple internal build can quietly become a governance liability. The real question isn’t whether the tool can be built, but whether it can be governed.
Posted inArtificial Intelligence
Companies risk violating data, consumer laws over agentic AI use
Companies are at increased risk of violating Europe’s tough privacy laws because boards have little awareness of the different types of AI or their inherent risks. While many organizations are more familiar with predictive and conversational AI tools, such as chatbots that carry little or no discernible risk, they have not grasped that generative AI—and especially agentic AI—are different animals.
Posted inArtificial Intelligence
No new rules as U.K. financial services sector champions AI
There are no new rules on the horizon as U.K. financial services firms embrace “AI-enabled, continuous and delegated services,” but a report warns that the technology could reshape the sector by 2030 in terms of how firms operate, consumers make decisions, markets compete, and risks emerge.
Posted inBest Practices
AI in compliance: Are we still driving, or just riding shotgun?
AI may be able to detect risk faster than any compliance team—but it still cannot own accountability.
Posted inBest Practices
AI, Data, and the Compliance Mandate: Lessons from APAC
AI governance is no longer a future-state exercise. It is a current control environment issue.
Posted inArtificial Intelligence
Littler Survey: AI and data privacy issues top of mind for employers
AI ranked as the top issue that’s expected to impact workplace policy changes over the next 12 months, even more so than DEI)and immigration enforcement matters, according to findings from law firm Littler’s 14th Annual Employer Survey.
Posted inSurveys & Benchmarking
Compliance officers grapple with AI risks as upper management pushes adoption
It’s clear that AI is a reality for compliance. Introducing new technology slowly was the norm, but AI has been given the fast track in organizations both big and small, across all industries.
Posted inBest Practices
The Tower of Babel and compliance role in AI governance
Recently,Pope Leo XIV issued his first Papal Encyclical Letter, titled Magnifica Humanitas “On Safeguarding the Human Person in the Time of Artificial Intelligence.” The document places AI within the long tradition of Catholic social teaching and asks how humanity should respond to the “new things” of the digital age. I wanted to review it from a compliance angle.