Custodia Regulatory Report for Financial Services 25-26
A practical guide for compliance, risk, and technology leaders on the regulatory pressures shaping data capture, validation, and audit readiness in 2026.
What is in the report?
This report outlines the regulatory trends in 2026 and how organisations can reduce exposure through stronger validation, governance, and operational resilience. Throughout this report, we outline practical steps compliance teams can take in 2026 to reduce exposure.
Recording and transcription
Why recording and transcription are no longer enough for compliance
Communication data
The increasing importance of complete communication data in 2026
SEC regulatory posture
What the shift in SEC regulatory posture means for compliance
Capture
What regulators are increasingly scrutinizing in communications capture
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Insidious risks
The insidious risks of third-party platforms and what compliance teams must reassess
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False positives
Why false positive alerts are leading to risk and how to mitigate these with technology
Workplace misconduct
How workplace misconduct is becoming a compliance risk
Cloud sovereignty
The significance of cloud sovereignty for regulatory defensibility
Who is this report for?
All senior leaders in regulated industries must factor compliance into their planning. However, this report focuses on the financial services sector and is specifically designed for:
- Heads of Compliance and Risk
- Surveillance and Governance teams
- IT and Security leaders responsible for regulated communications capture
- Anyone who is responsible for electronic communications compliance in regulated industries
However, it is becoming increasingly essential that compliance is no longer siloed and becomes an intrinsic part of workplace culture.
Cross-functional collaboration across compliance, IT, legal, and HR is essential.
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How to use this report
Use this report to:
- Evaluate your current capture and validation approach
- Identify gaps before audits, investigations, or disputes
- Align compliance and IT on platform selection criteria
- Build a business case for improving assurance and governance
If you want to talk communication data compliance, we’re the experts.
If you’re unsure of whether your current compliance approach can stand up to audit and investigation pressure, speak to our specialist team.
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