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.
$65,000 FINRA fine for firm’s multiple recordkeeping rules breaches
A California-based firm has been hit with a sizable FINRA fine for multiple recordkeeping and Regulation Best Interest rules failures, including off-channel communications.
SEC plants crypto recordkeeping seeds with Spring 2025 agenda
Securities and Exchange Commission Chairman Paul Atkins has set the regulator on a course toward crypto with its early ‘Spring 2025’ statement, including proposals to bring crypto under the scope of existing recordkeeping regulations.
How AI-powered eDiscovery and Data Supervision Drive Compliance in 2025
June 2025: twelve different regulated financial institutions have been fined by the SEC for non-compliance with record-keeping rules. At each of these firms, investigators found off-channel business communications that were not correctly recorded, or failings by supervisors to prevent such violations.
Why Data Center Security is the backbone of compliance in 2025
Data breaches are costing more than ever before, trending at a 10% increase in year-over-year costs. In fact, the average price of recovering from a single data breach is now $4.88 million. Can you really afford to get it wrong?
On the books – FINRA fine proves marketing comms can be a recordkeeping risk
A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.
SEC brings recordkeeping into the 21st century with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. But what do the amendments mean, and how can firms prepare?
SEC brings recordkeeping into the 21st century with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. But what do the amendments mean, and how can firms prepare?
