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AI Inventory and Risk Assessment: What a Financial Institution Risk Officer Needs to Know

03-14-24

AI Inventory and Risk Assessment: What a Financial Institution Risk Officer Needs to Know

For managers at financial institutions to understand AI risk, they first need to conduct a thorough inventory of what AI is being used, by whom, and for what purpose inside their firm. Regardless of where an institution is in its AI journey, it’s best to take the time to conduct an AI inventory and risk assessment to identify and remediate risks in order to stay safe and sound.

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2023 FINRA Dispute Resolution Statistics: A Look Back

03-06-24

2023 FINRA Dispute Resolution Statistics: A Look Back

2023 was an interesting year in FINRA dispute resolution. While customer filings dipped to a near-decade low, intra-industry cases grew 50% year-over-year. Despite the shift, core dispute themes remained stable, with top customer-member controversies and security types holding steady. We take a look at the entire year's statistics and trends in this new report.

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Key Takeaways from the SEC’s 2024 Examination and Enforcement Priorities with Bates Group’s Comparison Chart
Image © [Kristina Blokhin] /Adobe Stock

01-23-24

Key Takeaways from the SEC’s 2024 Examination and Enforcement Priorities with Bates Group’s Comparison Chart

The Securities and Exchange Commission’s Division of Examinations publishes its examination priorities report annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. Reviewing their roadmap offers vital insights for firms. See our annual chart tracking the Division's changing priorities.

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Expert Insights: The Compliance Risks of Artificial Intelligence

01-19-24

Expert Insights: The Compliance Risks of Artificial Intelligence

Bates Compliance Managing Director Brandi Reynolds offers her insights into the State of Financial Crimes 2024 report published by ComplyAdvantage. Specifically, the survey findings pertaining to Artificial Intelligence-based compliance solutions and the risks these tools can pose for the financial industry professionals who use them.

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FINRA Publishes 2024 Regulatory Oversight Report

01-10-24

FINRA Publishes 2024 Regulatory Oversight Report

FINRA has published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. Stay tuned for our annual chart and commentary on the reformatted 2024 Report and how its findings may impact your legal, regulatory and compliance matters.

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