With lots of new and existing regulations to deal with, as well as the challenges posed by AI, it's shaping up to be a strenuous year for compliance executives.
The federal regulation governing telephone marketing also covers texting, and now many states have put in place their own versions of the regulation, with different terms and definitions.
What financial services firms need to know about the risks of scraping software versus the benefits of an API-based integration.
Protecting investors from fraudulent, misleading or otherwise problematic electronic communications seems to be of the utmost importance to regulators.
The SEC's amendment to rule 17a-4 represents a tremendous opportunity to bring firms' record-keeping systems into the 21st century.
