RIAs will now be treated as "financial institutions" under the law, with obligations to screen clients, monitor transactions ...

AI offers a path toward efficient, proactive compliance management. Rather than replacing human oversight, AI serves as a ...

The shift to decentralized technology is nothing new. But low code and AI are catalyzing the parallel shift to a new risk ...

By BERNARD BEMPONG\xa0The regulatory landscape in banking is becoming increasingly complex with financial institutions facing ...

As AI continues its undeniable rise through both private enterprise and public practice, it’s entirely possible that soon, comprehensive checks ...

The capability mirrors the human decision-making process, combining situational awareness, problem-solving and execution ...

Artificial intelligence keeps improving at all sorts of things – including how to challenge corporate ethics and compliance programs. Even while you may still be struggling to tame the risks of ...

On Sept. 23, the U.S. Department of Justice (DOJ) updated its Evaluation of Corporate Compliance Programs (ECCP) 1 guidance document for prosecutors to consider the impact of emerging artificial ...

SISA has launched AI-driven StackSQ at the two-day NASSCOM Future Forge conclave in Bengaluru. The launch was led by ...

DOJ’s September 2024 update to its guidance on the Evaluation of Corporate Compliance Programs (ECCP) invites consideration of whether or not a corporate compliance program adequately accounts ...

The survey, released by the Investment Adviser Association, ACA Group, and Yuter Compliance Consulting, found that while 40% of firms have formally adopted AI tools for internal purposes, only 5% ...

Proactively adopting an effective compliance program to address AI risks may serve as a de facto “compliance defense” allowing companies to avoid criminal, compliance-based charges for AI ...