Register for Your Free Live Webcast Now:

"AI Compliance & Governance: Navigating Risk in Financial Communications"

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.

Date: Tuesday, September 30, 2025

Time: 1 pm ET | 10 am PT

Cost: Complimentary

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: 

Tiffany Magri | Senior Regulatory Advisor | Smarsh

Shaun Hurst | Principal Regulatory Advisor | Smarsh

Robert Cruz | VP, Information Governance Solutions | Smarsh

Offered Free by: ThinkAdvisor
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