- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by 
Wolters Kluwer2024-11-05T14:00:00
Attend this Compliance Week webinar to synthesize the current ”state-of-play” for current and proposed rules for the ethical and responsible use of AI in financial services settings.
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For all the hype surrounding generative artificial intelligence, the technology has been met with a healthy skepticism in the compliance community. Compliance practitioners want to know: Is it safe? Can it be deployed ethically? Are the risks greater than the rewards? And what should an AI acceptable use policy contain?
The Financial Industry Regulatory Authority fined broker-dealer Morgan Stanley $1 million over alleged documentation failures related to risk management controls and supervisory procedures involving violations of the Market Access Rule.
The Church Pension Group announced the appointment of Julian Chung as executive vice president, chief legal officer and corporate secretary.
Register for this webcast to gain expert strategies for creating a strong whistleblower program in your business.
The archive a firm selects can make or break their compliance strategy yet selecting an archive that meets your firm’s needs can be daunting. It is nearly impossible to identify the differences between vendors at first glance.
As we approach 2025, the regulatory landscape for the Telephone Consumer Protection Act (TCPA) and Do Not Call (DNC) regulations is becoming increasingly complex. Not only are there federal laws to take into consideration, but many states also have distinct requirements that differ from federal standards.
