What does the FCA’s AI update mean for financial services?
The U.K. regulator has issued an update on its own use of artificial intelligence, what good practice looks like in financial services, and outlined where existing regulations apply to AI.
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?
What are the voice recordkeeping requirements for financial services?
Many business collaboration and communication platforms have integrated voice features, which could introduce new risks. How can firms ensure their voice compliance meets regulatory requirements?
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?
Finfluencer marketing compliance: A guide for financial services firms
A guide to the regulations governing finfluencers across the U.S., U.K., and Canada, and how firms can work with them compliantly.
Where to find illicit communications — and what to do about them
The pace of off-channel communications enforcement actions may have reduced, but the challenge of illicit communications persists.
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.