FINRA’s 2026 Annual Regulatory Oversight Report has set a clear tone for the year ahead, placing generative AI (GenAI) governance and off-channel communications squarely at the centre of supervisory and enforcement attention. According to Theta Lake, for broker-dealers and other FINRA-regulated firms,…
FinTech Global: How is AI Rewriting Compliance Governance?
AI is no longer a back-office tool quietly analysing data. It is now embedded directly into the day-to-day communications of financial institutions. From automated meeting notes and call summaries to AI assistants operating within collaboration platforms, AI has become an active…
RegTech Analyst: The Truth About AI False Positive Reduction
AI-driven supervision has rapidly become embedded across financial services. Recent industry research shows that 94% of firms are either already using or actively planning to deploy AI-based detection tools. According to Theta Lake, from trade surveillance to communications monitoring, artificial intelligence is…
FinTech Global: Monitoring AI Communications for Forensic Compliance
AI adoption is accelerating across financial services and other regulated industries, but governance is struggling to keep pace as firms try to balance innovation with accountability. Theta Lake’s annual Digital Communications Governance Report suggests the direction of travel is clear, with almost…
FinTech Global: Rethinking Mobile Compliance in a Fragmented World
Mobile compliance has become one of the most complex regulatory challenges facing modern financial services firms. As global organisations adopt diverse mobile strategies, ranging from bring your own device (BYOD) to corporate-owned and hybrid models, the regulatory burden has intensified. According…
UC Today: AI Compliance Monitoring in UC – What Works, and What Backfires
AI and automation in compliance: The benefits and the risks Compliance changes constantly. Nothing new there. As soon as you think you’ve figured out how to keep your business “above board”, something new shows up. Right now, most of that “new…
RegTech Analyst: Building Trusted Data in Digital Communications
A structural shift is reshaping how regulated firms approach recordkeeping. In an era defined by hybrid working, AI-generated content and multichannel digital conversations, simply capturing communications is no longer enough. According to Theta Lake, financial institutions, FinTechs, WealthTechs and RegTech providers are…
FinTech Global: What Is The CIO Playbook For Safe Generative AI Adoption?
CIOs are facing mounting pressure to roll out generative AI across the digital workplace, even as accountability for risk remains firmly on their shoulders. From Microsoft Copilot-style assistants to embedded AI in collaboration tools, the promise is clear: faster decisions, streamlined…
FinTech Global: Why One-Size-Fits-All Mobile Compliance No Longer Works
Mobile communications have become one of the most difficult areas of modern communications compliance. As regulatory enforcement around off-channel messaging continues to intensify, firms are facing mounting pressure to ensure mobile conversations are captured, supervised, and retained appropriately. According to Theta Lake,…
FinTech Global: Why AI Communications Governance Will Define Compliance in 2026
AI is no longer a passive productivity tool sitting quietly in the background of the workplace. Across financial services and other regulated industries, AI assistants, meeting summarisation tools and increasingly autonomous agents are becoming embedded in everyday communications. While adoption is…