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.
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 benefit AI can offer?
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.
Why use AI translation for compliance?
From increased efficiency, accuracy, and scalability to decreases in cost and security risk, AI-enabled translation and transcription is bringing a range of benefits to compliance and surveillance teams in highly regulated industries.
Building AI agents for tomorrow: A governance-first approach
Global Relay Group Product Manager, Chris Lau, tells us how the implementation of AI agents should lead with a governance-first approach, and sets out 12 considerations to build AI agents with future regulation in mind.
Demystifying AI in surveillance: Video series
When it comes to AI in surveillance, it’s important to have a clear understanding of how generative models can enhance risk detection. Learn how LLMs enable effective, accurate communications monitoring, and the steps we take to ensure transparency, security, and explainability.
FCA fines independent traders £280,000 for insider dealing
The FCA has penalized two brothers, working as independent traders, with a large fine and prison sentences for insider dealing. Regulators are not stopping in their pursuit to weed out financial crime, calling on firms to implement the correct surveillance tools.