Why Most Investigations Start Too Late
By the time most matters formally begin, scope has already expanded.

Shilo Thomas
Product and Solutions Marketing, Data Compliance
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May 12–14, 2026 | Washington, DC
FINRA Annual Conference 2026
Join Arctera at FINRA’s Annual Conference to see the risk that matters. Gain insights on evolving compliance trends and discover how our platform captures, surveils, and investigates communications, governs AI, and delivers audit-ready evidence to defend every decision.
Visit us at Booth #3!
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Join the discussion with global capital markets consultancy firm, Opimas and Arctera as we share what leading institutions are doing to build transparency, auditability, and flexibility into their compliance frameworks.
Explore how advanced tagging, contextual filters, and AI-driven policies can reduce false positives, surface high-risk conversations faster, and simplify compliance workflows.
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With AI-powered automation, intuitive workflows, and expert guidance, we’ll show you how to make smarter decisions and streamline digital communications governance.

By the time most matters formally begin, scope has already expanded.

Shilo Thomas
Product and Solutions Marketing, Data Compliance
Once communications are captured and retention decisions are made, a different set of questions begins.

Shilo Thomas
Product and Solutions Marketing, Data Compliance
More than US$2 billion in enforcement actions have hit the books recently, all tied to off-channel communications. At first glance, these cases seem to be about employees using personal messaging apps, but that’s not really the story.

Shilo Thomas
Product and Solutions Marketing, Data Compliance