Does Generative AI Client Outreach Trigger SEC and FINRA Recordkeeping Rules?
Yes. Supervision, recordkeeping, and communications obligations attach the moment an AI-drafted message reaches a client. Here is what that means in practice.
Compliance
Examination posture, framework coverage, and the artifacts auditors actually request.
The Questionnaire Banks Already Have, and AI Vendors Are About to Meet
A decade-old bank questionnaire most large tech vendors already answer every year now has AI governance built in, and most AI companies haven't seen it coming
The Rule That Isn't There
SR 26-2 rewrote the bank model-risk rulebook for the first time in 15 years, and left out the exact AI systems banks are racing to deploy.
Meilynx Achieves SOC 2 Type I Compliance
Our SOC 2 Type I report covers Security, Availability, and Confidentiality. Most reports stop at Security alone. The Type II observation period is underway.
Your Next Exam Will Ask About AI: Five Document Requests to Prepare For
AI is entering exam document requests. The five artifacts examiners will ask for, why screenshots fail as evidence, and how to prepare your AI audit trail.