FINRA 2026 Oversight Report flags GenAI, recordkeeping, and cybersecurity risks
The regulator’s annual Oversight Report has highlighted GenAI, recordkeeping, cybersecurity, and third parties as areas where firms should focus efforts to strengthen compliance programs.
EU AI Act
As a world-first, the EU’s Artificial Intelligence Act has been introduced as the most comprehensive AI regulation from August 2024 onwards. It is a direct response to the surge of unmonitored AI innovation and usage, which now present dangerous risks to end users and wider communities if misused.
Regulatory Wrap episode 75: SEC 2026 Examination Priorities
In Regulatory Wrap for the week to November 21, Kathryn Fallah reviews the focus areas highlighted in the SEC’s 2026 Examination Priorities.
Has the SEC shifted focus in its 2026 Examination Priorities?
The SEC’s Examination Priorities for 2026 include focus areas that align with emerging risks, as well as an emphasis on ensuring compliance programs are effective – though, notably, it make no mention of digital assets.
What advice does the DOJ have for pharma compliance teams?
The DOJ assistant attorney general emphasized proactive self-disclosure and hinted at how pharmaceuticals can best prepare for new trends in enforcement.
Why use AI translation for compliance?
From increased efficiency, accuracy, and scalability to decreases in cost and security risk, AI-enabled translation and transcription is bringing a range of benefits to compliance and surveillance teams in highly regulated industries.
A complete guide to ChatGPT recordkeeping
ChatGPT use in financial services has dramatically increased over the past year – especially in North America – raising questions about whether firms are addressing generative AI compliance gaps and aligning with evolving regulatory guidelines.
Building AI agents for tomorrow: A governance-first approach
Global Relay Group Product Manager, Chris Lau, tells us how the implementation of AI agents should lead with a governance-first approach, and sets out 12 considerations to build AI agents with future regulation in mind.
Cybersecurity compliance in healthcare: harnessing technology for regulatory compliance
As part of our ongoing series on B2B SaaS compliance solutions, today we’re exploring cybersecurity compliance: healthcare edition.
AI-powered Anti-Money Laundering (AML) compliance in finance
AI is fast becoming the key differentiator for financial firms grappling to scale their anti-money laundering compliance. Sure, those who stick to the standard tool suite may still manage to comply. But forward-thinking institutions have been able to increase their accuracy and even spot new risks as they choose to enhance AML efficiency with AI.
AI-Enhanced Third-Party Risk Management in the Financial Sector
In 2025, we all know of the benefits AI can bring. But when it comes to heavily regulated industries, introducing AI can blur the lines of compliance. It often leaves IT and marketing battling against compliance and risk departments to find the right balance between efficiency and operational risks.