Julie DiMauro
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FINRA Annual 2026: Talking AI and prediction markets
Speakers tackled emerging developments in crypto, AI, prediction markets and other critical regulatory topics shaping financial services entities.
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OCC’s Semiannual Risk Perspective report notes key risks for banks
In its report, the OCC highlighted credit, market, operational, and compliance risks, diving specifically into the cyber, AI, and geopolitical risk areas.
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Transcript: Erica Powers podcast
This is a transcript of the podcast episode Erica Power says data analytics has a home in compliance programs between Julie DiMauro, GRIP’s Head of Regulatory…
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Podcast: Erica Powers says data analytics has a home in compliance programs
We discuss how data outputs inform your program inputs, so if you notice a trend in a particular region or team, it could be a signal for the compliance department.
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CIRO issues penalties, citing gatekeeper failures
CIRO alleges a firm failed to adequately supervise the US over-the-counter securities trading by two foreign broker-dealer clients.
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Kpler forum in NYC: Mapping out the shifting global trade, geopolitical risk landscape
As of May 4, the average US gasoline price hit another wartime high of $4.46 per gallon. What could be next for prices, trade flows, and political resolutions?
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Mitigating risk and Mythos madness: A cyber chat with Melissa Ventrone
Ventrone explains how cybersecurity is a contest of relentless monitoring, testing, training, and patching, and some of the most basic good practices are often overlooked.
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Podcast: Evan Van Hook, Chief Sustainability Officer, Viridi
Van Hook talks about battery storage using lithium-ion technology, the increasing demand for safety, and the importance of regulatory adherence.