Navigating the Compliance Risks of Generative AI in Financial Services
UCC Leaders hesitating to deploy AI can use Zoom Compliance Manager powered by Theta Lake to help mitigate the risk
Deploy Productivity-Boosting AI Tools like Zoom AI Companion Without Compliance Concerns
Generative AI delivers faster insights and greater productivity. But these workplace benefits introduce new supervision challenges when AI-generated outputs fall outside traditional review workflows. Navigating the Compliance Risks of Generative AI in Financial Services shows how firms can confidently embrace these tools without compromising regulatory obligations.
This white paper outlines recent guidance from FINRA and the SEC on AI-enabled communications and explains how Zoom Compliance Manager (ZCM) powered by Theta Lake captures, retains, and reviews AI outputs with the same rigor applied to human-generated communications, so organizations can realize the full potential of AI while staying audit-ready.
Key Takeaways:
- Why generative AI outputs often sit outside existing compliance models
- How ZCM powered by Theta Lake captures AI-summarized content in Zoom to align with supervision and retention requirements
- How firms can confidently roll out AI-powered productivity tools with confidence