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FINRA 24-09 Notice – Managing GenAI

July 09, 2024

On June 27th, FINRA released Notice 24-09 which outlines how firms must manage GenAI (Generative Artificial Intelligence) implementations.  Though GenAI provides powerful new tools, they also create several compliance challenges. First, there are several ways that SEC firms are implementing GenAI but in general it is being driven by the expansion of centrally driven experiments.  […]

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Charlie Weeden speaking at NSCP National Conference in October

September 21, 2023

NSCP National Conference Dallas, Texas October 16th -18th The National Society of Compliance Professionals is a nonprofit membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP is “For Compliance, By Compliance.” NSCP membership provides the financial services professional with a wide range of resources including a vast network of […]

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