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 ...

A key pillar of the EU Act is the notion of “high-risk” AI systems that require additional oversight ... bar for compliance. The firm has invested $1.4 billion to ensure its business practices ...

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 ...