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Regulatory Change & Intelligence

The AscentAI Difference

    AI-driven obligations & workflow
    Asset Type : Ebook
    Company Name : Ascent
    https://www.ascentregtech.com/resources/ebook/the-ascentai-difference/
    Change management is one of the most difficult and arduous challenges faced by risk and compliance teams. It’s a detailed, slow, and painstaking process, with significant, cascading downside risk if something is missing or only partially addressed. See how AscentAi is bringing digital transformation to regulatory change management.
Regulatory Change & Intelligence

Free eBook: Enforcement Actions

    Regulatory monitoring & updates
    Asset Type : Ebook
    Company Name : Compliance.ai
    https://www.compliance.ai/enforcement-action-ebook/
    In this new eBook, we discuss how enforcement agencies across multiple jurisdictions continued their vigilant efforts to uphold market integrity, protect consumers, and ensure compliance with regulatory frameworks. It reviews the enforcement actions taken by key regulatory bodies. This eBook analyzes enforcement trends from all agencies and highlights several key themes and patterns that emerged in the previous two quarters. These trends underscore the shared priorities of regulators worldwide and reflect the evolving challenges faced by the financial sector as it adapts to new technologies, market risks, and increasingly complex regulatory landscapes.
Marketing & Advertising Compliance

Navigating regulatory compliance: three questions to help you get on the right path

    Automated marketing content approval AI
    Asset Type : Ebook
    Company Name : SAIFR
    https://insights.saifr.ai/request-ebook-navigating-regulatory-compliance
    This ebook provides an overview of the top three questions you should ask yourself and your team before creating marketing communications—and why you should ask them. It helps balance getting your message across to prospects and clients quickly while complying with rules and guidelines to protect investors.
Marketing & Advertising Compliance

The essential AI capabilities and concerns that compliance and marketing teams should consider

    Automated marketing content approval AI
    Asset Type : Ebook
    Company Name : SAIFR (Fidelity)
    https://insights.saifr.ai/request-ai-insights-survey
    To understand the current adoptions and usage of AI tools in the daily operations of financial services marketing and compliance teams, we surveyed over 100 leaders in U.S. financial institutions.
Marketing & Advertising Compliance

The struggle is real: Overcoming hurdles in content creation and review.

    Automated marketing content approval AI
    Asset Type : Ebook
    Company Name : SAIFR (Fidelity)
    https://insights.saifr.ai/request-ebook-content-creation-hurdles
    This ebook summarizes survey responses from marketing and compliance professionals on the current state of marketing and compliance workloads and provides action items that firms can take now to help ease workload strains on both teams.
Marketing & Advertising Compliance

Charting a better path for KYC: Overcoming four key hurdles

    Automated marketing content approval AI
    Asset Type : Ebook
    Company Name : SAIFR (Fidelity)
    https://insights.saifr.ai/request-ebook-charting-a-better-path-for-kyc
    Artificial intelligence (AI) is emerging as a powerful tool to enhance Know Your Customer (KYC) program effectiveness. With human oversight, AI-driven solutions can help deliver more consistent, accurate results when screening for bad actors, reducing inefficiencies while strengthening compliance efforts. Successfully adopting AI starts with thoughtful planning. This ebook outlines four critical challenges and provides actionable strategies to overcome them:
Marketing & Advertising Compliance

From caution to action: How advisory firms are integrating AI in compliance

    Automated marketing content approval AI
    Asset Type : Ebook
    Company Name : SAIFR (Fidelity)
    https://insights.saifr.ai/request-ebook-from-caution-to-action
    This survey explores how 17 senior executives in Financial Services firms are thinking about AI adoption for their compliance processes, and details why you might want to follow suit in implementing or scaling use of AI at your institution.