Compliance Focus

By Compli-Serve

International surveys reveal alarming levels of stress, burnout and increasing workloads among compliance professionals. As South African financial services regulation becomes more demanding, Compli-Serve examines whether enough attention is being paid to the wellbeing of the people responsible for keeping businesses compliant.

Compliance officers are expected to be ...

By Compli-Serve

The UK's FCA has published a useful set of examples showing how financial-services firms are using artificial intelligence well- and where controls are falling short. The message is important for compliance teams: existing regulatory obligations continue to apply when AI is used, whether the technology supports customer-facing ...

By Compli-Serve

One of the more practical themes in the FCA’s recent work on AI in financial services is its treatment of human oversight. Many firms appear comfortable saying that an AI-enabled process remains safe because a person still reviews the output before it is used. The FCA’s examples ...