Smarsh - Archiving & Compliance

The AI rulebook is still being written in real time ✍️

That leaves firms navigating a mix of evolving regulations, existing obligations, and open questions from agencies like the SEC and FINRA around how AI should be supervised in practice.

Robert Cruz, VP of Regulatory & Information Governance, explains why the current AI regulatory landscape is so complex and how firms should be thinking about governance as expectations continue to take shape.

Red flag or green flag? 🚩✅

We put compliance pros on the spot and asked them to pick a side on a few industry debates — from agentic AI and data hygiene to emojis at work.

Watch the flags fly, then tell us which calls you’d make below.

We gave hockey icon Henrik Lundqvist the ultimate compliance lingo pop quiz 🏒📝

Play along and see how many acronyms you get right — but fair warning: the last one is basically impossible.

AI is moving faster than legacy governance can follow.

For financial firms, the challenge is no longer just adopting AI. It's managing the data, context, workflows, and risk signals that come with it.

Hear how AI is pushing compliance teams to rethink what it takes to govern at speed and scale.

Read more:
👉 AI governance as business edge: bit.ly/4uUbwyI
👉 Managing AI compliance risk: bit.ly/4eSTF6L

𝘛𝘩𝘪𝘴 𝘤𝘰𝘯𝘵𝘦𝘯𝘵 𝘸𝘢𝘴 𝘱𝘢𝘪𝘥 𝘧𝘰𝘳 𝘣𝘺 𝘚𝘮𝘢𝘳𝘴𝘩 𝘢𝘯𝘥 𝘱𝘳𝘰𝘥𝘶𝘤𝘦𝘥 𝘪𝘯 𝘱𝘢𝘳𝘵𝘯𝘦𝘳𝘴𝘩𝘪𝘱 𝘸𝘪𝘵𝘩 𝘵𝘩𝘦 Financial Times 𝘊𝘰𝘮𝘮𝘦𝘳𝘤𝘪𝘢𝘭 𝘋𝘦𝘱𝘢𝘳𝘵𝘮𝘦𝘯𝘵

Safe to say the Smarshian had a lot of fans at the 2026 FINRA Annual Conference 📸

Beyond the camera roll, it was a week full of conversations about what’s changing across financial services — and what firms need to keep pace.

A few big themes kept surfacing:
✅ AI is everywhere, and so are the questions around hype vs. real, ready-for-use solutions
✅ Off-channel risk is still very much in focus, with shadow AI adding a new layer to watch
✅ Enforcement may be shifting in tone, but oversight, recordkeeping, and investor protection remain front and center

Stay tuned as we share more on what we learned. Until then, thanks to everyone who stopped by and made the event such a fun one!

We’ve arrived!👋

If you’re attending the 2026 FINRA Annual Conference, the Smarsh team will be at kiosk #201 and hosting in the Treasury room all week long.

Whether you want to talk communications compliance, AI, or just escape the conference rush for a few minutes — come find us!

Another shutdown, same expectations.

Smarsh VP, Regulatory and Information Governance Robert Cruz unpacks what firms need to know to stay on top of their compliance obligations as the partial U.S. government shutdown stretches into day 68 👇

If you can catch the Smarshian in full color, take it as your sign to join us for London on April 28.

Screenshots welcome ⏯️👇