AI Compliance & Governance: Navigating Risk in Financial Communications
On Demand
This event is now available on-demand. To view the on demand webcast, please click here to register.
Sponsored by: Smarsh
AI-powered tools like ChatGPT, Microsoft Copilot, and Teams are transforming how financial professionals communicate, but also raising new compliance challenges. In this evolving landscape, what qualifies as a business record? How do you effectively supervise and retain communications that blend automation, emojis, and informal chat?
Evolving guidance from regulators, including the SEC, FINRA, FCA, and ESMA has introduced new layers of complexity.
Join us for an interactive conversation where our panel of regulatory and information governance experts — Tiffany Magri, Robert Cruz, and Shaun Hurst — will explore real-world scenarios to help you confidently navigate the nuances of regulated communications across modern platforms. They will also spend time answering the most pressing audience questions submitted during registration.
You'll learn how to:
- Apply regulations to modern, AI-enhanced communication channels
- Identify and manage gray areas in digital messaging, including emojis, likes, and informal chats
- Gain practical strategies for documenting and supervising your firm's recordkeeping decisions.
Whether you're updating procedures or training staff, this webinar will provide the tools needed to stay ahead of regulatory expectations.
Speakers:
Featured Speakers:
As a Regulatory Advisor at Smarsh, Tiffany Magri monitors, evaluates and consults on the financial services regulatory landscape. Tiffany has 15 years of experience facilitating compliance with laws and regulations, policies, and risk management. Prior to joining Smarsh, Tiffany was a Senior Associate at Benefit Street Partners and a Compliance Officer at Broadstone and Manning & Napier Advisors.
Shaun Hurst is the Principal Regulatory Advisor for Smarsh. He has over 20 years of experience solving complex IT challenges for Financial Services Institutions, and is a subject matter expert in topics like Regulatory Requirements, Data Privacy, eDiscovery, Compliance and Cloud Computing. Shaun worked for one of the largest American banks for 15 years, providing him with a unique insight to the challenges our customers face.
Robert Cruz is the Vice President of Information Governance at Smarsh. He has more than 20 years of experience in providing thought leadership on emerging topics including risk management, regulatory compliance, and eDiscovery cost and information governance. He holds an MBA from the Stanford University Graduate School of Business.
Questions? Please email: [email protected]