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Artificial Intelligence Securities Regulation Financial Institutions

Stikeman Elliott LLP

OSC Publishes 2025 Examination Priorities for Dealers, Advisers, Investment Fund Managers and Other Regulated Entities

Stikeman Elliott LLP on

The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission (“OSC”) has released its 2025 examination priorities, which are informed by the OSC’s 2024-2030 Strategic Plan as well as...more

Thomas Fox - Compliance Evangelist

Everything Compliance: Shout Outs and Rants - Episode 155

Welcome to this Edition of Everything Compliance, Shout-Outs, and Rants. In this episode, we have the quintet of Matt Kelly, Jonathan Armstrong, Jonathan Marks, and Special Guest Panelist Hemma Lomax, all hosted by Tom Fox. ...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: June 2, 2025, The Unintended Consequence Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News....more

Carlton Fields

2 Across: Changing Financial Product Recommendations

Carlton Fields on

Artificial intelligence (AI) can and is already changing how firms and registered representatives recommend financial products to customers. AI has the potential to enhance recommendations that registered representatives...more

KPMG Board Leadership Center (BLC)

Directors Quarterly: January 2025

The latest edition of Directors Quarterly features a summary of board and committee agenda priorities for 2025, financial reporting and auditing updates, post-election observations from around the world, and more. Read the...more

Mayer Brown

FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence (AI) and Large Language Models

Mayer Brown on

On June 27, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 24- 09 (the “Notice”) reminding member firms that FINRA’s rules and the securities laws apply to the use of artificial...more

American Conference Institute (ACI)

[Event] Crypto and Digital Asset Fraud & Recovery - April 25th - 26th, South Kensington, London, United Kingdom

Don’t miss out on the 2nd Annual Crypto and Digital Asset Fraud & Recovery – London conference, the premier gathering for the Digital Asset Fraud community! Stay ahead in this dynamic field by joining C5 in London to delve...more

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