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?
What is the FCA’s final NFM guidance?
The FCA has released its final guidance surrounding non-financial misconduct. Firms must now take accountability and be transparent in cases of bullying, harassment, and intimidation within their businesses.
Regulatory Wrap episode 76: FCA NFM final rules
In Regulatory Wrap for the week to January 16, Jay Hampshire unpacks the FCA’s final guide on non-financial misconduct.
$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.