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.
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.
2026 update to FINRA 2210 Communications with the Public
In July 2026, FINRA issued a regulatory notice proposing significant updates to Rule 2210, which governs how broker-dealers communicate with the public. Learn more about the proposed changes and steps firms can take to prepare if they are accepted.