Alert Fatigue: The Hidden Cost of Keyword-Based Communications Supervision
Why Alert Fatigue Is Increasing in Compliance Teams 95-98% of flagged messages are false positives. As digital communications evolve to meet client expectations, compliance teams are facing a sharp increase in content flagged for review. Recent studies estimate that 95–98% of flagged messages are false positives. As a result, compliance teams spend valuable time clearing […]
Wealth Advisor TV: The Better Mousetrap: Archive Intel’s Larry Shumbres on AI-Powered Compliance
Compliance shouldn’t require an army of analysts reviewing false positives or 16-week approval chains for email campaigns. Larry Shumbres of Archive Intel joined The Wealth Advisor to explain how he built a better solution after listening to over 200 clients complain about legacy compliance products. Shumbres surveyed RIAs, asset managers, and compliance consultants about their […]
More Tools, More Risk: Five Steps To Solve The Fragmented Compliance Problem
This byline was first published in the Wealth Solutions Report on February 2, 2026. Financial firms have never had more ways to communicate—or more ways to get it wrong. Increasingly, advisors use a combination of email, text, social media, artificial intelligence (AI) tools and other communication methods to correspond with clients, prospects and internal […]
From Text Threads to Audit Trails: How CRM Sync Unlocks Scalable Communications Compliance
Compliance violations are rarely intentional. Most originate from everyday client conversations that fell outside their firm’s supervisory oversight. As texting becomes a core channel for client communication, many RIA firms are discovering oversight gaps in unexpected places: a client’s new phone number not added to the archive, arecently onboarded client that wasn’t whitelisted, or a […]
SEC Clarifies Marketing Rule on Fees and Testimonials: What RIAs Need to Know
The U.S. Securities and Exchange Commission (SEC) recently updated its Marketing Rule FAQ, clarifying how certain provisions of Rule 206(4)-1 should be applied in practice. While the rule itself remains unchanged, guidance issued on January 15, 2026 provides clearer parameters around testimonial eligibility and the presentation of fees in performance advertising, areas RIAs should review […]
Does Client Communication Make You Feel Like a Moving Target?
Off-channel client communication has evolved faster than the systems designed to govern it. This shift did not happen overnight. It unfolded gradually as new tools became part of everyday work. Text messages replaced phone calls. Direct messages replaced emails. Comments and replies became part of routine interaction. This change was not intentional. It was shaped […]
Watch Your Step — Some Off-Channel Risk Is Easy to Miss
Off-channel communications continue to receive intensive scrutiny during regulatory audits, and firms are feeling the impact. When violations occur, the consequences reach far beyond fines and create real reputational and operational risk. The challenge is keeping pace with how people communicate while maintaining consistent oversight and reducing the strain on compliance and supervision teams. Texting […]
13 Questions Every CCO Should Ask Before Selecting a Compliance Technology Partner
Choosing the right compliance partner isn’t just about features. It’s about protecting your firm’s reputation, reducing operational risk, and ensuring exam readiness without disrupting how your advisors work. Before committing to a vendor, ask these 13 questions to assess whether their platform truly aligns with your regulatory and operational needs: Archiving Capabilities Across Channels Do […]
Modernizing Communications Archiving: What the SIFMA-SEC Dialogue Means for Your Firm
In October 2025, the Securities Industry and Financial Markets Association (SIFMA) formally petitioned the U.S. Securities and Exchange Commission (SEC) to revise current communications retention rules that govern broker-dealers and investment advisers. Specifically, SIFMA’s proposal calls for updates to Exchange Act Rule 17a-4 and Advisers Act Rule 204-2(a)(7), aiming to align compliance obligations with the […]