MEMBER HIGHLIGHT - SER member Antonio Rega recently authored an article titled "Shadow AI Meets Reg S-P: Why Unsanctioned AI Use is Now a Safeguards Problem." The article presents a growing risk of confidential data flight that directly impacts a financial firm's compliance obligations under Regulation S-P and FINRA. Recent regulatory milestones, such as the SEC's newly enforced S-P amendments and FINRA's 2026 guidelines, require firms to actively identify and supervise any AI tool processing nonpublic personal information. To comply, organizations must bring these tools under formal technology controls, maintain detailed asset inventories, and establish structured incident response plans for AI-related data exposure. Antonio is the Managing Director of Tech Forensics, eDiscovery, and Data Privacy/Security at Bates Group. You can read the full article here.
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