Regulatory Insights: Key Takeaways from SIFMA C&L Conference and SEC AI Roundtable | Smarsh

What you'll learn

• Maintain robust compliance programs for off-channel communications despite potential enforcement shifts. The fundamental requirements haven't changed even if enforcement approaches evolve. - Develop comprehensive, cross-functional AI governance frameworks with appropriate risk-based controls that adapt to the unique challenges of newer AI technologies. - Continue prioritizing communication compliance while recognizing regulators may focus more on substantive violations that directly impact market integrity and investor protection. - Implement a structured approach to monitoring regulatory trends across formal and informal channels to anticipate compliance expectations before they crystallize into enforcement actions. - Engage proactively with regulators through comment processes and industry dialogues to help shape the evolving regulatory framework. - What Prediction Markets Mean for Compliance Oversight - July 6, 2026 - How to Stay Ahead of SEC Scrutiny on Social Media - June 26, 2026 - SEC Crypto Regulation on Enforcement, Rules, and Compliance - May 27, 2026

Topics covered