financial regulation

On July 6, 2026, Reuters reported that Britain’s Financial Conduct Authority had been urged by executive director Sheldon Mills to consider whether large language models such as ChatGPT, Claude, and Gemini should fall within financial regulation as consumers increasingly use them for money...

Britons are quietly shifting whom — and what — they trust with their finances: a recent media report captured by community briefings shows one in ten adults in the UK now prefer an AI tool to a human when they seek routine money help, while roughly half would consider using AI for everyday...

Britons are embracing AI for money management faster than many financial institutions expected, but the real story is not simply about convenience. It is about trust, privacy, and the changing psychology of asking for help with personal finances. A new Post Office-commissioned poll of 2,000...

More than a third of New Zealand retail investors now say they use generative AI tools such as ChatGPT and Microsoft Copilot to inform their investment decisions — and a large majority report being satisfied with the outcomes — a shift that is simultaneously pragmatic and precarious for markets...

In a significant move to assist Financial Industry Regulatory Authority (FINRA) firms in achieving compliance with SEC Rule 17a-4, AdvisorVault has announced a complimentary 17a-4 Gap Assessment. This initiative aims to help firms identify and address compliance gaps within their Microsoft 365...

The integration of Generative Artificial Intelligence (GenAI) into the financial sector is revolutionizing operations, offering unprecedented efficiencies and innovative services. However, this rapid adoption brings forth significant challenges, particularly concerning the safety and reliability...

The accelerating adoption of artificial intelligence in the financial services industry is transforming workflows, communication methods, and client engagement models at a pace previously unseen. While the promise of AI-driven platforms such as Microsoft Copilot and ChatGPT is driving efficiency...

For investment firms operating under the watchful gaze of regulatory bodies, compliance is an exacting, ever-shifting challenge—one that demands both technological adaptability and rigorous adherence to protocols. For Los Angeles-based IFC Advisors, this challenge reached a breaking point when...

In a significant move to bolster regulatory compliance and data security, IFC Advisors has adopted AdvisorVault's 17a-4 Managed 365 Service. This strategic decision underscores the firm's commitment to adhering to the Financial Industry Regulatory Authority's (FINRA) stringent electronic records...