What are the SEC’s 2027 examination priorities?
Another year means another set of SEC Examination Priorities. In 2027, the regulator continues to emphasize existing risk areas, including compliance program effectiveness, advancing technologies, and cyber resilience.
Data security questions Canadian banks should ask their compliance vendors
Data governance has become a pillar of compliance for Canadian financial firms, especially to manage growing data volumes, defend against evolving operational risks, and meet modern regulatory expectations. Do you have complete visibility of your data stack?
What does the FCA’s AI update mean for financial services?
The U.K. regulator has issued an update on its own use of artificial intelligence, what good practice looks like in financial services, and outlined where existing regulations apply to AI.
How can firms build operational resilience that evolves alongside risk?
Cyber incidents are increasing in scale and potential impact, making operational resilience a top priority for financial services firms. As new complex threats emerge, learning from past incidents is key to building adaptable resilience strategies.
Can your surveillance understand how Nordic traders actually talk?
In Nordic countries, voice communications are often multilingual. What should firms keep in mind when searching for a surveillance solution that can accurately capture and monitor these conversations?
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?
Complete Channel Coverage in 2027: A practical guide for compliance, risk, and IT teams
Off-channel communications aren't a solved problem. The FCA found that 41% of identified breaches at wholesale banks involved directors or senior managers. Our guide explains why channel capture beats bans, where AI tools create new recordkeeping risk, and what to ask your vendor.
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?
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.
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.