By CW Staff2016-04-11T10:30:00
Stephanie Brooker, director of the Enforcement Division of the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN), has joined law firm Gibson Dunn its Washington, D.C. office as a partner. At Gibson Dunn, Brooker will focus on financial services related criminal and regulatory enforcement, compliance, and litigation.
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2025-12-24T19:04:00Z By Tom Fox
FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or tool. But what does that mean for a compliance professional using GenAI?
2025-12-19T20:33:00Z By Aaron Nicodemus
Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed.
2025-12-12T16:58:00Z By Adrianne Appel
Financial firms seeking guidance on AI, the threat of cyberattacks, market manipulation, or fraud targeting senior clients can turn to annual guidance issued by the Financial Industry Regulatory Authority.
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