Video: Does a 33% rise in social media capture indicate increasing risk?
Join Rob Mason and Jennie Clarke as they examine the results of our 2026 Data Insights report, and what an increase in firms capturing social media tells us about risk.
CIRO zeros in on emerging risk areas in 2026 Compliance Report
CIRO’s 2026 Compliance Report highlights key compliance risk areas where firms should focus attention, with main priorities including cybersecurity, challenges associated with emerging technologies, and the strength of compliance frameworks.
What is Chain of Thought prompting – and what are the benefits?
As the pace of AI adoption continues to increase, firms operating in regulated industries are embracing the opportunities that technologies like Large Language Models present for compliance and monitoring, and the increased transparency around model decision making it can provide.
Has compliance outgrown traditional archiving?
Compliance teams are contending with more data, more regulatory pressure, and more advanced technology. To keep up, you need an archive that does more than just passively store data.
$1.1 million FINRA fine for AML compliance failings
Do recent enforcement actions from FINRA, including a $1.1 million fine for AML compliance program failings and a member ban for unapproved channel use, indicate the regulator’s direction of travel for 2026?
$10,000 fine continues FINRA’s off-channel communications crackdown
FINRA has fined and suspended an ex-B. Riley broker for sending business-related communications via an unapproved personal email account, continuing its enforcement streak against recordkeeping violations.
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.
How can healthcare and life sciences organizations control GenAI recordkeeping risks?
With the use of generative AI tools like ChatGPT increasing within healthcare and life sciences organizations, how can businesses balance compliance and modernization while tapping into the benefits AI can offer?
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.
An essential guide to capturing social media communications for FinServ
An essential guide into the most effective way to implement social media capture and monitoring solutions that comply with the rules and regulations set out.