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Headline Issue Diary Date
US' FINRA identifies potential violations of UK Financial Rules in majority of crypto asset communications 307 CompliNEWS 01 Feb 2024
Goldman Sachs fined $513K by FINRA over faulty surveillance reports 307 CompliNEWS 01 Feb 2024
Guidelines for developing workflow processes 307 CompliNEWS 01 Feb 2024
Financial Services Tribunal rejects Ganesan Moodley's reconsideration appeal in case against Alexander Forbes Retirement Fund 307 CompliNEWS 01 Feb 2024
South Africa can draw lessons from UAE's successful anti-money laundering measures as it seeks removal from FATF grey list 307 CompliNEWS 01 Feb 2024
ASISA announces appointment of acting CEO 307 CompliNEWS 01 Feb 2024
The political landscape ahead of key regulatory changes 307 CompliNEWS 01 Feb 2024
Debarment – Representative cutting and pasting customer’s electronic signature on document material to transaction 307 CompliNEWS 01 Feb 2024
FIC's expanded compliance push for DNFBPs – Estate agents and legal practitioners included; country must report to FATF in May 2024 307 CompliNEWS 01 Feb 2024
IC Markets impersonation scam 307 CompliNEWS 01 Feb 2024
Working Smart

By Lee Rossini

There is no doubt that artificial intelligence (AI) is changing how businesses operate. As discussed in previous articles, in a financial advice business, the integration of AI tools can streamline operations, enhance client experiences, improve compliance, and increase profitability. Here is a breakdown of several areas where AI can assist – and why its integration can be a game-changer.

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