Systems that use Generative A.I. (GenA.I.) technologies and communications based upon the WhatsApp instant messaging (IM) and voice-over-IP (VoIP) service are high on the lists of compliance risks at financial services firms, according to a new survey from Global Relay, a provider of digital communications and recordkeeping. Global Relay’s second annual “Data Insights Report: Communication… Read More >>
Dismantling Data Silos Boosts Regulatory Compliance
(As performance and client reporting teams — and other internal groups — gear up to comply with the SEC Marketing Rule, Form ADV, and Reg BI, they will welcome the end of data silos, says Rab Govil, CEO and founder of Naehas, a provider of customer engagement and compliance automation solutions. Govil, who has been… Read More >>
CCOs Worry Most About SEC’s Marketing Rule: Survey
The SEC’s controversial marketing rule, a comprehensive effort to regulate investment advisers’ marketing communications, remains a top concern among the chief compliance officers (CCOs) at these firms, according to the results of the 2023 Investment Management Compliance Testing (IMCT) survey. Nearly three-quarters of survey respondents, or 70.32 percent, chose advertising/marketing as the hottest compliance issue… Read More >>
