Tag
financial-services
6 posts with this tag.
·7 min read
SEC 2027 Exam Priorities: What Changed for AI
The SEC's FY2027 exam priorities rename AI 'super intelligence' and add deepfake and phishing threats. What changed from FY2026 and what to fix.
·7 min read
FCA AI Guidance: Good Practice Checklist for Smaller Firms
The FCA's new AI good and poor practice adds no rules, but names who answers when AI goes wrong. A checklist for smaller UK firms, mapped to each section.
·8 min read
MAS AI Risk Guidelines for Vendors
MAS AI risk management guidelines phase in from October 2027. What will Singapore financial firms ask AI vendors, and what proof should you prepare?
·10 min read
SEC AI Governance for Investment Advisers: Exam Priorities
What do SEC examiners ask about AI in 2026? See the exact questions, Form ADV disclosures, and a 10-point readiness checklist for RIAs.
·7 min read
What Is AI Risk Decisioning? Definition and Checklist
Use this 10-item checklist to govern AI risk decisioning in credit, fraud, and underwriting, aligned with the US Treasury FS AI RMF (2026).
·10 min read
SEC AI Examination 2026: What Examiners Will Ask About AI
The SEC embedded AI oversight into every FY2026 exam category. The questions examiners ask and documentation needed for investment and compliance teams.