Over the last six months, artificial intelligence (AI) has captured the public imagination in a way it never has before. A new generation of AI-powered language models make use of a deep learning architecture known as a...more
4/27/2023
/ Artificial Intelligence ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Cybersecurity ,
Due Diligence ,
ECOA ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Investment Adviser ,
Lending ,
Popular ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Software
The United Kingdom HM Treasury (“HMT”) on 1 February 2023 launched its first consultation on the future regulatory regime for cryptoassets (the “Cryptoassets Consultation”). At the same time, it also published a response to...more
2/13/2023
/ Consumer Protection Laws ,
Cryptoassets ,
Data Reporting ,
Disclosure Requirements ,
Due Diligence ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Services and Markets Act ,
Initial Coin Offering (ICOs) ,
Investment Management ,
Investors ,
Market Abuse ,
Trading Platforms ,
UK ,
Valuation
Firms will need to ensure their systems and controls to prevent financial crime and money laundering are working effectively: this is just part of the message contained in the FCA’s Business Plan for 2019/20. The Business...more
5/13/2019
/ Anti-Money Laundering ,
Banking Sector ,
Banks ,
Business Plans ,
Civil Monetary Penalty ,
Compliance ,
Customer Information ,
Cyber Attacks ,
Disclosure Requirements ,
Due Diligence ,
Enforcement Actions ,
EU Market Abuse Regulation (EU MAR) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Markets ,
Fines ,
Insider Trading ,
Investment Management ,
Market Abuse ,
MiFID II ,
Misleading Statements ,
Money Laundering ,
Remuneration ,
Risk Assessment ,
Risk Mitigation ,
Secondary Markets ,
Self-Dealing ,
Senior Managers ,
SMCR ,
UK ,
Wholesale