The right approach to harnessing AI helps firms meet regulatory expectations and transform compliance into a driver of quality, consistency and trust.
With the FCA sharpening its focus on delivering and recording good customer outcomes, advice firms need to meet stringent standards for suitability and advice quality, and demonstrate clear, auditable evidence to the regulator.
At the same time, Artificial Intelligence (AI) is reshaping how compliance is managed. The right AI solution can deliver smarter, faster, and more reliable compliance outcomes, while reducing manual workloads. But navigating this landscape isn’t simple.
That’s why TCC and Recordsure are hosting a two-part webinar series this October. We’ll explore how AI can empower compliance teams to raise standards, build robust evidence frameworks, and prepare for the regulatory challenges ahead.
AI in Compliance: Right-first-time suitability
AI in Compliance: Building on solid foundations
By attending AI in Compliance webinars, you’ll gain clarity on how to evaluate and implement AI solutions that stand up to regulatory expectations, and how to avoid common pitfalls.
Webinar 1: AI in Compliance: Right-first-time suitability
2nd October 2025 | 12:30pm
Getting suitability assessments right-first-time is essential for both compliance and customer trust. But as case volumes grow, compliance teams are stretched thin.
In this webinar, our experts will show you how a unique approach to AI can:
- Improve the quality and consistency of suitability checks
- Reduce compliance workloads by automating routine assessments
- Free up compliance professionals to focus on complex cases
- Ensure evidence stands up to regulatory scrutiny
Speakers: Compliance expert and AI specialist
David Boyhan, Technical Compliance Expert, TCC
Garry Evans, CPO & CCO, Recordsure, TCC and Momenta
This session will equip you with practical insights into how AI can raise suitability standards while minimising operational strain.
Webinar 2: AI in Compliance: Building on solid foundations
14th October 2025 | 12:30pm
Generative AI has become one of the hottest topics in financial services. But when it comes to compliance, relying solely on GenAI isn’t enough – that’s why Predictive AI plays a critical role in tech-led solutions for financial services firms.
This webinar offers expert guidance on how to ensure that your AI solution can be trusted, provides the necessary evidence, and ultimately supports you in meeting the regulator’s requirements. We cover:
- Why GenAI alone cannot deliver regulator-ready compliance
- How to create auditable, lasting evidence using Predictive AI
- Practical strategies for building compliance frameworks that scale and endure
- How to ensure compliance with AI is both effective and trustworthy
Speakers: AI technology experts
Kit Ruparel, Chief Technology Officer, Recordsure
Garry Evans, CPO & CCO, Recordsure, TCC and Momenta
Our speakers have decades of experience and hands-on expertise in applying AI to financial services compliance.
This session will equip you with practical insights into how AI can raise suitability standards while minimising operational strain.
Who should attend?
Our compliance webinars are designed for professionals across financial services, including:
- Wealth management practitioners
- Compliance officers and managers
- Risk and governance leaders
- Financial advisers and supervisors
- Technology and operations leaders
If you want to understand how AI can strengthen compliance, enhance customer outcomes and deliver regulator-ready evidence, these sessions are not to be missed.
