Upcoming Webinar: The Next Compliance Frontier: Monitoring GenAI and Unstructured Comms Data
Date: 16 September 2026
Time: 10:00am ET / 3:00pm London / 4:00pm CET
Duration: 50 minutes
Generative AI is rapidly transforming how employees create, share, and interpret information. From internal copilots drafting client messages to AI tools summarising trading conversations or generating research notes, large language models are increasingly embedded in daily workflows across capital markets. At the same time, the volume of unstructured communications data – voice recordings, chat messages, documents, collaboration platforms, and AI-generated outputs – continues to grow. For compliance teams, this creates a new frontier of supervisory risk.
Regulators have already made it clear that all business communications – regardless of the technology used to generate or transmit them – must remain subject to supervision, recordkeeping, and surveillance obligations. As firms experiment with GenAI tools and integrate them into trading, research, onboarding, and client engagement workflows, compliance teams are challenged to monitor AI-generated content and unstructured data streams while maintaining explainability, auditability, and regulatory defensibility.
This webinar brings together senior compliance practitioners and RegTech executives to explore how organisations can adapt existing surveillance frameworks to accommodate AI-generated business communications and other complex data sources, providing practical guidance on maintaining effective oversight without introducing new regulatory blind spots.
By attending this webinar, you will:
- Understand where AI-assisted workflows – such as automated drafting tools, summarisation engines, and embedded copilots – can introduce new gaps in communications monitoring and recordkeeping.
- Gain insight into how regulators view AI-assisted content within existing recordkeeping, supervision and surveillance obligations – and what this means for firms deploying GenAI across front-office workflows.
- Discover how advanced analytics and machine learning are helping firms analyse complex communications patterns, detect behavioural signals, and surface risk more effectively.
- Learn how compliance, risk and technology teams are defining policies, controls and usage frameworks to ensure AI tools are deployed safely within regulated environments.
Speakers:
More about our speakers:
Katsuko Ishizeki-Chaudhari
Independent Regulatory Consultant, former Regulator and Practitioner
Katsuko is an Independent Regulatory Consultant often advising communications surveillance, shareholder disclosure, trade reporting, regulatory change, cross-border regulation, GRC, FinTech and AI.
Her career spans front-office banking, regulatory and risk advisory, SMF16 board-level responsibility, and financial regulator. She is former CEO of Stonegate Consulting Ltd., Chair of a charity.
Paul Cottee
Director, Financial Markets Compliance
NICE Actimize
Paul Cottee is a Director in the Product group at NICE. Paul worked in FICC front-office roles before becoming a compliance officer with a major UK asset manager, then regional head of surveillance for a major investment bank. He has been in the vendor space for over 8 years. He has worked in Sydney, London, Singapore and New York.
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