Tag: AI

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AI in Financial Services in 5 Stories

AI in Financial Services in 5 Stories – Week Ending July 3, 2026

Welcome to AI in Financial Services in 5 Stories. A practical weekly roundup of the five most important AI developments affecting banking, insurance, payments, asset management, and fintech. Each Friday, Tom Fox will break down the top stories that matter most through the lenses of compliance, risk management, governance, and business strategy. Designed for compliance professionals, executives, legal teams, and financial services leaders, it goes beyond headlines to explain why each development matters in a highly regulated industry. The result is a concise weekly briefing that helps listeners stay current on AI innovation while asking sharper questions about oversight, accountability, and trust.

This week’s stories include the following:

  1. The future of AI in banking. (TheFinancialBrand)
  2. AI and global bankers. (Reuters)
  3. AI Playbook for financial services. (WEF)
  4. Trusted data in workflow. (Microsoft)
  5. Agentic AI in post-trade workflows. (FinTechFutures)

For more information on the use of AI in Compliance programs, Tom Fox’s new book, Upping Your Game, is available. You can purchase a copy of the book on Amazon.com.

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on Amazon.com.

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AI Today in 5

AI Today in 5: July 2, 2026, The Bank of the Future Edition

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. Does AI workflow matter more than the model? (FinTechGlobal)
  2. BoE says AI agents may need their own regs. (BankingExchange)
  3. Employers already rue laying off humans for AI. (CNBC)
  4. JPMorgan Chase is building the bank of the future. (Forbes)
  5. Human healthcare in the age of AI. (HospitalNews)

For more information on the use of AI in compliance programs, Tom Fox’s new book, Upping Your Game, is available. You can purchase a copy of the book on ⁠Amazon.com⁠.

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on ⁠Amazon.com⁠.

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AI Today in 5

AI Today in 5: July 1, 2026, The Anthropic Released Edition

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. Customer risk management. (FinTechGlobal)
  2. AI governance. (Automotive World)
  3. US releases Anthropic Fable model. (WSJ)
  4. AI-generated code risks for compliance. (helpnetsecurity)
  5. Whose advantage if everyone uses the same AI model? (Bloomberg)

For more information on the use of AI in compliance programs, Tom Fox’s new book, Upping Your Game, is available. You can purchase a copy of the book on ⁠Amazon.com⁠.

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on ⁠Amazon.com⁠.

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Red Flags Rising

Red Flags Rising: S01 E41: AI Diffusion Confusion?

Mike and Brent reboot a prior recording overtaken by events, specifically the Sunday, May 31, 2026, guidance issued by BIS to global data centers and the June 12, 2026, “is-informed” letter by Commerce Secretary Howard Lutnick, which prompted an AI model company to take down its latest models.

Mike and Brent first update listeners on pending legislation in the U.S. Congress (01:37). They then revisit last year’s May 13, 2025, announced intent by BIS to rescind the Biden-era “AI Diffusion Rule” (06:44), discuss questions around whether that rescission actually happened and, in any event, what was the status of U.S. export controls as a result (10:59), and then break down the May 31, 2025, guidance from BIS (15:53) including the opportunities and limitations of what reads like a “General Prohibition 10 Savings Clause” in the penultimate paragraph (19:43). They next discuss the Friday, June 12, 2026, “is-informed” letter issued by the Secretary of Commerce and its implications for industry (23:58). Then they conclude with a “Gray Rhino” edition of Brent’s “Managing Up” segment (26:18).

Resources:

Contact Brent

More about Brent

Connect with Brent on LinkedIn

Contact Mike

More about Mike

Connect with Mike on LinkedIn

The BIS Guidance from Sunday, May 31, 2026

Michele Wucker, The Gray Rhino: How to Recognize and Act on the Obvious Dangers We Ignore (2016)

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AI Today in 5

AI Today in 5: June 30, 2026, The Unknown Unknowns Edition

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. Next-gen compliance for the AI era. (FinTechGlobal)
  2. The unknown unknowns of using AI at work. (NYT)
  3. BIS sees peril in AI investment boom. (WSJ)
  4. Using Agentic AI to close compliance alerts. (CPAvPracticevAdvisor)
  5. AI offers a bridge between provider, payor, and patient. (Healthcare Finance)

For more information on the use of AI in compliance programs, Tom Fox’s new book, Upping Your Game, is available. You can purchase a copy of the book on ⁠Amazon.com⁠.

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on ⁠Amazon.com⁠.

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Innovation in Compliance

Innovation in Compliance: Compliance as Market Access with Kunal Chopra

Innovation comes in many areas, and compliance professionals need to not only be ready for it but also embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom Fox visits with Kunal Chopra, CEO of Certivo, an AI-native regulatory intelligence and compliance management platform for supply chains.

Chopra recounts his tech and supply-chain background (Amazon, Microsoft, Groupon, and prior CEO roles) and explains his insight that compliance is fundamentally about market access and revenue protection, not box-checking. He describes how global regulations are increasing in scope, enforcement, fines, and deadlines, creating repeated, deadline-driven scrambles and visibility gaps for executives. Certivo aims to flip compliance from reactive to proactive by identifying applicable regulations by market and product, ingesting product data from systems like ERP/PLM, and using AI to coordinate supplier documentation, read unstructured files, extract data, and map evidence to rules while leaving deterministic compliance decisions to rules-based logic to avoid hallucinations. The platform supports scenario analysis for supply disruptions, continuous monitoring as rules change, and predictive preparation for emerging regulations, helping compliance leaders align with sales, marketing, and operations as revenue enablers.

Key highlights:

  • Compliance as Market Access
  • Visibility Gaps and Scrambles
  • Who Owns the Risk
  • How Certivo Works
  • Preventing AI Hallucinations
  • Scenario Planning Supply Chain
  • Continuous Monitoring and Prediction

Resources:

Connect with Kunal Chopra on LinkedIn

Certivo

Innovation in Compliance was recently honored as the Number 4 podcast in Risk Management by 1,000,000 Podcasts

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Daily Compliance News

Daily Compliance News: June 30, 2026, The New Auditor Ethics Rule Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Top stories include:

  • WeWork grows up. (FT)
  • The unknown unknowns of using AI at work. (NYT)
  • How a new auditor ethics rule may reshape litigation. (Reuters)
  • More ex-NBA players indicted in gambling probe. (ESPN)

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on Amazon.com.

Categories
AI Today in 5

AI Today in 5: June 29, 2026, The Farmers Embracing AI Edition

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. AI governance in commercial insurance. (FinTechGlobal)
  2. Farmers embracing AI. (NYT)
  3. China matches Anthropic in AI cybersecurity. (WSJ)
  4. Tackling AI compliance through a multipart framework. (BloombergLaw)
  5. Make AI regs more patient-centered. (NewsMedical)

For more information on the use of AI in compliance programs, Tom Fox’s new book, Upping Your Game, is available. You can purchase a copy of the book on ⁠Amazon.com⁠.

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on ⁠Amazon.com⁠.

Categories
TechLaw10

TechLaw10: Episode 300 with Special Guest Tom Fox

In this special episode of TechLaw10, Punter Southall Law’s Jonathan Armstrong and Eric Sinrod, Professor and Duane Morris LLP attorney, chat with special guest Tom Fox. This is episode 300 in the popular TechLaw10 series. You can listen to earlier podcasts here. 

Tom Fox is the founder of the Compliance Podcast Network. He has been a leading litigation lawyer, a General Counsel, and a Chief Compliance Officer. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance and international transaction issues. He specializes in bringing business solutions to compliance problems. Tom is the author of the award-winning FCPA Compliance and Ethics Blog and the international best-selling book “Lessons Learned on Compliance and Ethics.” His podcasts have won numerous awards, including the W3, Davey, Communicator, and Webby awards for podcasting excellence.

He is the author of the seminal text The Compliance Handbook, now in its 3rd edition, published by LexisNexis. He is a well-known and frequent speaker on compliance and ethics issues, social media use, and corporate leadership.

Jonathan, Eric, & Tom discuss several issues, including the following:

  • The use of data analytics & data science
  • The use of data & tech in investigations
  • The ITA Airways case and the need to conduct investigations properly and in compliance with GDPR
  • The issues with bribery & corruption
  • The regulation of AI
  • Italy’s AI law
  • A new case in Munich on AI liability
  • How podcasting has changed the legal profession
  • The changes in education & how people learn

Jonathan talks about the EU AI Act. There are FAQs on that here: https://bit.ly/euaifaq. There is also a glossary of AI terms here.

Jonathan also talks about Italy’s AI law—the details for that are here

You can find out more about Tom Fox here.

Eric Sinrod’s details can be found here, and Jonathan Armstrong’s details are available here.

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AI Today in 5

AI Today in 5: June 26, 2026, The GenZ in the C-Suite Edition

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI.

Top AI stories include:

  1. An AI arms race in AML. (FinTechGlobal)
  2. Easing AI-induced workforce disruptions.  (NYT)
  3. When AI puts Gen Z in the C-Suite. (WSJ)
  4. New security operating model. (Rapid7)
  5. AI is moving from automation to transformation in healthcare.  (HealthcareITNews)

For more information on the use of AI in compliance programs, Tom Fox’s new book, Upping Your Game, is available. You can purchase a copy of the book on ⁠Amazon.com⁠.

To learn about the intersection of Sherlock Holmes and the modern compliance professional, check out Tom’s latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on ⁠Amazon.com⁠.