By Carole Switzer2014-06-03T13:00:00
As we all know, ill-advised risk taking in the financial sector led the industry to the brink of collapse in recent years. Not only that, but sales schemes driven by inappropriate incentive plans and outlandish short-term objectives caused many consumers to suffer severe financial consequences and lose trust in the ...
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2015-12-15T14:45:00Z By Joe Mont
There is no shortage of vendors and products in the governance, risk, and compliance software space. Choosing the wrong one can be disastrous. Just as problematic, however, is pairing a poor implementation strategy with even the best of solutions. Missteps can lead to employee revolts, cost overruns, delays, and ineffective ...
2025-12-29T12:00:00Z By Ruth Prickett
If 2025 was the year generative AI took off in organizations in every sector, it was also the year we saw increasing examples of the risks of AI mishaps.
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?
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