September 2, 2026InvestmentNews on the Zocks integration: AI-generated meeting notes are now reviewed and retained like any other client communication.
“Wealth management compliance vendor Archive Intel has struck a partnership with Zocks, the privacy-focused AI notetaking platform, to help advisory firms review and store records generated by AI meeting assistants before regulators come knocking.” InvestmentNews, September 2, 2026
August 31, 2026Atlanta’s technology press profiles Larry Shumbres and how he built Archive Intel for SEC and FINRA regulated firms.
July 28, 2026Larry Shumbres on why the SEC’s “business as such” standard should stay, and what a practical vendor-validation checklist would give firms.
“It would open the door wide open for fraud and make it incredibly difficult for any regulator or client to prove misconduct by a bad actor.” Larry Shumbres
July 22, 2026Larry Shumbres on the proposed Regulation E-Delivery: when electronic delivery becomes the default, the compliance question becomes proof of what was sent, when, and to whom.
“What changes for compliance is the proof. When e-delivery becomes the default, the burden shifts to demonstrating what was sent, when and to whom.” Larry Shumbres
April 14, 2026Investopedia looks at how Contextual AI captures and reviews advisor communications against SEC and FINRA recordkeeping rules, with far fewer false flags.
“The reliability and ease of use make Archive Intel easy to recommend.” Taylor Kovar, CEO at 11 Financial
March 10, 2026Larry Shumbres weighs in as Congress considers moving FINRA’s role to the SEC, and on what the change would mean for firms and everyday investors.
