The Policy, Compliance and Internal Controls Office provides oversight for university policy development ... internal audits of units and business processes, and the control environment established by ...

Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...

Donald Trump recently repealed Joe Biden’s Executive Order on responsible AI development. The move suggests Trump will pursue deregulation of the AI sector. However, regulatory ...

FINRA regulates one critical part of the securities industry—member brokerage firms doing business in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with ...

from recent oversight activities; and provides additional resources that may be helpful to member firms in reviewing their supervisory procedures and controls, and fulfilling their compliance ...