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.
New technologies, new risks – The evolution of communications compliance
The evolution of communications technology has changed the way firms do business. But every step change has presented compliance teams with new challenges. We explore how the communications landscape has changed, from voice communications to AI chats, and how compliance teams are already armed with the tools they need to tackle emerging risk.
How does voice surveillance differ from other forms of communications surveillance?
As regulators encourage firms to effectively supervise business communications to deter misconduct and maintain compliance, what are the main differences to watch for when monitoring voice communications versus written digital communications?
Industry Insights 2026: The state of AI, compliance, and surveillance
For the fourth year running our Industry Insights Report uses insights from the compliance and surveillance community to create an overview of the biggest trends and challenges impacting financial services.
A guide to recordkeeping in 2026: best practice, tools, and future state for the Nordics
Explore what Nordic regulators expect from financial institutions in 2026, from proactive data inspections to off-channel communications capture. Learn about recent enforcement actions, key regulatory priorities, and the tools needed to build a defensible, future-proof recordkeeping strategy.
Crypto Decrypted: Why crypto compliance begins with data
As firms increasingly integrate digital assets into their operations, how can they ensure their compliance programs can handle crypto-related data and communications?
How to bring pharma sales reps’ communications into compliance
Pharma sales reps operate in high-pressure environments where they're judged on availability and responsiveness. Organizations have invested heavily in tools to support field teams, but that efficiency pressures creates a persistent temptation to cut corners on compliant communications.
Something phishy: Are banks crossing the line with fake off-channel compliance messages?
Banks are now using dummy messages to source out the use of off-channel communications, as regulators continue to pursue and penalize firms unable to meet the rules. However, are banks crossing the line and, should they look to implement tools that compliantly capture communications across all channels instead?