How can financial services firms ensure their operational resilience?
Operational resilience must become a boardroom priority for firms as they protect themselves from becoming vulnerable to cyberattacks and regulatory scrutiny.
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.
Regulatory Wrap episode 77: The Bank of England weighs in on AI for financial services
In Regulatory Wrap for the week to February 20, Rob Mason unpacks the main takeaways from the BoE’s recent roundtables on AI integration in financial services.
Home health care provider pays $34 million after self-disclosing potential FCA violations
The settlement comes after Traditions Health submitted two self-disclosures of billing practices that potentially violated the Stark Law and Anti-Kickback Statute.
Video: Unpacking 2026’s top communications capture trends
Receive expert insight on the top recordkeeping trends for 2026, as well as the direction of communications capture trends moving forward.
FINRA flags how firms are using GenAI – and key compliance considerations
GenAI use cases are evolving fast, enabling firms to streamline complex processes and improve operational efficiency. FINRA has published an overview of its member’s frequent GenAI implementations – and cautioned firms on ensuring they consider compliance.
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.
How will ChatGPT for Healthcare affect compliance operations?
Without clear guidelines on how to use generative AI tools, organizations must tread carefully to avoid compliance violations.
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?