When are AI communications a business record?
As Generative AI platforms become increasingly integrated into the day-to-day operations of financial services firms, compliance teams face a pressing question: when should they treat AI communications as a business record?
What are the voice recordkeeping requirements for financial services?
Many business collaboration and communication platforms have integrated voice features, which could introduce new risks. How can firms ensure their voice compliance meets regulatory requirements?
Is AI the next chapter of communications capture?
AI is becoming more integrated into business operations, but many firms aren’t currently retaining AI outputs. Are they overlooking a future risk area?
Finfluencer marketing compliance: A guide for financial services firms
A guide to the regulations governing finfluencers across the U.S., U.K., and Canada, and how firms can work with them compliantly.
State AI regulations 2026: A compliance guide for financial firms
Without a consolidated federal AI rulebook, states across the U.S. have established their own governance laws. How can firms prepare their compliance programs to navigate these requirements while scaling innovative technologies?
Where to find illicit communications — and what to do about them
The pace of off-channel communications enforcement actions may have reduced, but the challenge of illicit communications persists.
Regulatory Wrap episode 87: Regulators take on frontier AI
In Regulatory Wrap for the week to September 18, Jay Hampshire unpacks the FCA’s multi-firm review on the use of frontier AI in financial services to test operational resilience.
Operational resilience in the Nordics: Reducing third-party and cloud concentration risk
Recent cloud outages uncover a hard truth: single points of failure can bring critical systems to a halt. How can firms in the Nordics boost operational resilience?
Finfluencers in Sweden: What the new regulatory landscape means for financial firms
Financial influencers, or ‘finfluencers’, have quietly become one of the most influential distribution channels in Sweden - more than one in five young adults trust financial information from finfluencers in the region. We explore the emerging risks.
Sheridan’s Signals — SIFMA’s Suggested Recordkeeping Rulebook Modernizations
SIFMA has shared recommendations on how the SEC could modernize its recordkeeping requirements to reduce the compliance burden on firms and provide increased clarity.
