Tag: FCA

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Everything Compliance

Everything Compliance: The Conflicts of Interest, The False Claims Act, AI and More AI Edition

Welcome to a revamped Everything Compliance. We have a new host, Adam Turteltaub, and a new panelist, Rebecca Walker, who joins returning regulars Matt Kelly, Jonathan Armstrong, and Karen Moore for the next iteration of Everything Compliance. This episode features a cross-Atlantic discussion on emerging compliance issues. Fan favs Shout Outs and Rants end this week’s episode.

  • Karen Moore looks at the growing Federal trend of bringing False Act Claims against corporate DEI programs.
  • Jonathan Armstrong describes the first public GDPR report of an AI agent attack and offers nine responses.
  • Rebecca Walker reviews key data from Navex anonymized disclosures, including COIs.
  • Matt Kelly looks at recent guidance from the New York State Department of Financial Services on AI risk assessment.

The members of Everything Compliance are:

The award-winning Everything Compliance is a part of the Compliance Podcast Network.

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Daily Compliance News

AI Today in 5: August 11, 2026, The Mark Zuckerberg Manifesto 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. 5 key takeaways from Zuckerberg’s manifesto on AI. (Bloomberg)
  2. Can AI help with travel costs? (NYT)
  3. EY launches bid to hold down AI costs. (Bloomberg)
  4. FCA finalizes rules to cut £100MM in reporting costs. (FinTechGlobal)
  5. AI safety in healthcare is everyone’s job. (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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AI in Financial Services in 5 Stories

AI in Financial Services in 5 Stories – Week Ending June 26, 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. AI Is Now the Threat Banks Must Plan Around. (PYMNTS)
  2. AI in fintech comes down to trust. (Forbes)
  3. AI is beginning to justify massive data center buildouts. (Yahoo!Finance)
  4. HSBC and Google announce an AI partnership. (HSBC)
  5. FCA rethinks AI oversight. (digwatch)

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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From the Editor's Desk

From the Editor’s Desk: Aaron Nicodemus on the May and June in Compliance Week

In this episode of ‘From the Editor’s Desk,’ Tom Fox visits with Aaron Nicodemus to discuss highlights from Compliance Week in May, review the National Conference, which concluded in May and take a look at what is coming down the pike in June in Compliance Week.

They report that federal enforcement is not receding but shifting, with heightened risk from Foreign Terrorist Organization (FTO) designations affecting companies operating in Mexico, Latin America, and Brazil; increased and novel use of the False Claims Act, including actions targeting DEI programs, referencing IBM and PayPal settlements; and growing enforcement roles for states, FINRA, and divergent ESG regimes in the UK and Europe. Guidance to compliance leaders is to “stay the course,” strengthen third-party risk management, and document enhanced due diligence around potential FTO ties. They note AI discussions moving from governance frameworks toward scaling practical compliance use cases. June will feature “Inside the Mind of the CCO” survey results, DEI-related findings, and two webcasts. They also recognize former Compliance Week journalist Allie McDevitt’s ASBE national Gold Award for her Lafarge series, which is cited as a roadmap for FTO-related risk, alongside DOJ messaging on self-reporting to seek declination.

Resources:

Aaron Nicodemus on LinkedIn

Compliance Week

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AI in Financial Services in 5 Stories

AI in Financial Services in 5 Stories – Week Ending April 24, 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:

  1. Will Mythos threaten global banking?(FT)
  2. Agentic AI reshaping bank compliance.(FinTechGlobal)
  3. Taiwan develops AI to block Chinese banks. (TheBanker)
  4. Transactions forensics. (Experian)
  5. FCA picks banks for AI testing trials. (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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AI Today in 5

AI Today in 5: April 17, 2026, The AI in Life Sciences 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 the 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. How AI is transforming life sciences.(White & Case)
  2. FCA targets AI use. (FinTech Global)
  3. AI under new GSE mandates. (HousingWire)
  4. AI-related litigation increases. (CDF Labor Law)
  5. Why are so many Americans using AI in healthcare? (PBS News)

For more information on the use of AI in Compliance programs, my 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 my latest book, The Game is Afoot-What Sherlock Holmes Teaches About Risk, Ethics and Investigations on Amazon.com.

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AI in Financial Services in 5 Stories

AI in Financial Services in 5 Stories – Week Ending March 27, 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:

  1. Customer service AI improving fintech. (Global Banking & Finance)
  2. Solaris to become the first EU all-AI bank. (FinTech Futures)
  3. Moving from detection to prevention using AI in FinTech. (FinTechGlobal)
  4. FCA evolving on payment priorities. (FinTech Magazine)
  5. Future-proofing AI for the Agentic AI era. (FinTech Weekly)

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

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Daily Compliance News

Daily Compliance News: March 23, 2026, The All FT 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:

  • Is China more stable for companies than the US? (FT)
  • JPMorgan to monitor junior bankers’ hours. (FT)
  • Collapsed mortgage lender in the UK given the all clear by the FCA in 2024. (FT)
  • AI is reshaping the business of law. (FT)
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AI in Financial Services in 5 Stories

AI in Financial Services in 5 Stories – Week Ending March 20, 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:

  1. How AI is changing fintech. (Intuit)
  2. GSA AI clause.(Holland & Knight)
  3. Leading through AI transformation in FinTech. (Forbes)
  4. Mastercard unveils AI engine. (FinTechMagazine)
  5. FCA demands explainable decisions. (FinTechGlobal)

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

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AI Today in 5

AI Today in 5: March 3, 2026, The First AI Agent Payment 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 the 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. Rethinking the financial crime stack through AI. (FinTechGlobal)
  2. CA AG opposes Trump Administration attempts to gut AI law. (CA DOJ)
  3. First AI agent payment. (FinTechMagazine)
  4. Automating reg compliance with AI. (Bits&Chips)
  5. FCA review of AI in the UK financial sector. (GlobalComplianceNews)

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