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

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

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

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 ...

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 ...

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% ...

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

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 ...