How Automated Communications Monitoring Works Across Messaging and Voice
Not every alert proves misconduct. Our guide shows how automated monitoring turns messaging and voice into contextual data that lets compliance teams investigate only the communications that carry real risk.
SEC and FINRA Communications Recordkeeping: What Technology Does Your Firm Need?
Regulators have spent five years cracking down on broker-dealer communications recordkeeping, but for compliance teams the real challenge is choosing and operationalizing the right technology. Our new guide offers a ten-step vendor checklist, a channel-by-channel overview and the key questions to ask before you commit.
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?
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?
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.
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?