Fintech and compliance: A unique startup's journey from concept and product development to FINRA approval and registration.
Podcasts
Rahmila Nadi discusses the role of non-technical leaders in AI implementation and the challenges of bias and unequal access to AI education.
Aydin Mirzaee is CEO of Fellow AI, a meeting and note-taking assistant.
We discuss how this market offers opportunities for crowd forecasting and hedging certain risks but also carries significant risks regarding market manipulation, regulatory uncertainty, and more.
Commissioner Wilshaw and her team are working to help her country maximize its strengths in the global trade arena to help Canadian businesses troubleshoot market access and grow.
While the DOL creates fiduciary "safe harbors" to protect plan sponsors from litigation while expanding investment choices, what do compliance and legal pros need to keep in mind?
As regulators move from trialling AI to active oversight, firms face pressure to build governance structures to withstand scrutiny across multiple jurisdictions.
We discuss how data outputs inform your program inputs, so if you notice a trend in a particular region or team, it could be a signal for the compliance department.