Five federal financial regulatory agencies are gathering insight on financial institutions’ use of artificial intelligence (AI). The agencies seek information from the public on how financial institutions use AI in their activities, including fraud prevention, personalization of customer services, credit underwriting, and other operations.

The Financial Crimes Enforcement Network (FinCEN) today convened a virtual FinCEN Exchange event to discuss Bank Secrecy Act (BSA) filing statistics for low-dollar, voluntarily-filed suspicious activity reports (SARs) that contain a transaction nexus to Arizona, New Mexico, Texas, Oklahoma, and Louisiana.

2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it.

SEBI held a condolence meeting at its Head Office in Mumbai today in memory of Shri G VRamakrishna, former Chairman, SEBI who passed away on 20thMarch 2021 in Chennai.

All SEBI registered entities including MIIs(which use bulk SMS for providing their services to the investors) are advised to ensure strict compliance with the Telecom Regulatory Authority of India’s (TRAI)Telecom Commercial Communications Customer Preference Regulations, 2018 (TCCCP Regulations).Non-compliance with the provisions of said regulations may result in disruption of delivery of their messages to the investors.

The SEC today launched a new page on its website to bring together agency actions and the latest information about climate and environmental, social and governance (ESG) investing. In response to increased investor demand for this information, the page will appear on the front page of SEC.gov and will be updated as the agency continues to respond to investors.

The Securities and Exchange Commission has adopted interim final amendments to implement congressionally mandated submission and disclosure requirements of the Holding Foreign Companies Accountable Act (HFCA Act).