232 Enforcement Actions in the U.S. over past 30 days


FINRA enforcements decreased 70% over the past 30 days


SEC issued enforcements: $289,563,885 over the past 30 days


161 Final Rules go into effect in the next 30 days


37 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


1415 new Proposed and Final Rules were published in the past 7 days


8611 new docs in pro.compliance.ai within the last 7 days


Considering RCM Solutions?  Here’s an RFP to get started.


october, 2019

21octallday23*2019 NSCP National Conference


Event Details

The National Society of Compliance Professionals’ hosts approximately 850 compliance professionals from the financial services industry.

Compliance.ai CEO, Kayvan Alikhani, will be featured on the session: “Exploration of Artificial Intelligence with Marketing Compliance (Advanced)”, where attendees will learn how data automation and automation and artificial intelligence can help advance compliance and risk agendas with a case study on technology opportunities within Marketing Compliance.

Learning Objectives:

  • Learn about artificial intelligence (AI) and emerging tech in Compliance
  • Understand opportunities on leveraging technology within the Marketing Compliance space through the use of an AI-enabled review assistant, designed to read through marketing material to help the regulatory review process.
  • Implementation considerations and additional uses of AI and emerging tech in Compliance
  • Cost/Benefit analysis of using AI



october 21 (Monday) - 23 (Wednesday)


Hilton Baltimore


National Society of Compliance Professionals