Comply has also significantly expanded its Comprehensive Consulting business, investing in additional consultants to support ...

Amid the increased unpredictability of economic policies affecting the business landscape, the recent optimism about regulatory reforms and deregulation, expected to bring relief from the burden of ...

This blog explores the strategic importance of Target Operating Models (TOMs) in regulatory compliance and transformational change. Many people are aware that financial institutions are currently ...

Zapier reports on integrating AI into compliance workflows, emphasizing AI's role in supporting human judgment for tasks like ...

Generative AI (GenAI) has moved rapidly from experimentation into day-to-day use across many organizations. Over the past ...

Despite the positive, transformational benefit that artificial intelligence can offer, businesses must be very mindful of the legal, regulatory, and compliance risks that come with this technology.

Regulatory violations could lead to hefty fines, bad press, lawsuits and government action while also threatening customer trust. The Trump administration is pushing for aggressive deregulation, but ...

State securities regulators have approved amendments to their model rule for broker/dealer conduct in order to match the federal standards in the SEC’s Regulation Best Interest, according to the North ...

The typical narrative is that as time passes, digital regulation becomes more stringent. Accountability becomes a greater requirement as technology continues to advance and occupy a more meaningful ...

Compliance with the long-lamented patchwork of state privacy laws is becoming increasingly unmanageable for companies with multistate operations. In this article, we provide some practical strategies ...

The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...