Blog
Surveillance Snippets: Striking the balance between communications surveillance and privacy
In persisting enforcements for recordkeeping failures, regulators stress the need to “reasonably supervise personnel” to detect and prevent possible violations. But how can firms ensure effective supervision when questions of privacy rights arise?
The FCA, WhatsApp, and recordkeeping
The FCA surveyed UK banks on the use of encrypted and unmonitored messaging apps like WhatsApp and Signal, with no specific enforcement action currently in the works. Firms must still ensure compliance with recordkeeping rules, regardless of technology used.
The Conduct Chronicles – The Emerging Risks of LinkedIn
As social media opens up new avenues of communication, businesses face a new set of challenges. From possibilities of insider trading to investment scams, firms must take the necessary precautions to mitigate these potential risks.
Insights
Buying a compliance solution? 4 things to consider before you commit
Choosing a compliance technology vendor can be complex. Global Relay has highlighted four key considerations to bear in mind before you sign.
Head to the cloud – 6 simple steps for migrating healthcare data to the cloud
Migrating healthcare data to the cloud comes with multiple benefits for businesses, from cost reduction to increased data availability. Streamline your data migration with these six simple steps.
The Compliance Hub
Rules & Regulations
Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance.
Glossary
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
Compliance Insights
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
Broker Dealer Collection
Surveillance Snippets: Striking the balance between communications surveillance and privacy
In persisting enforcements for recordkeeping failures, regulators stress the need to “reasonably supervise personnel” to detect and prevent possible violations. But how can firms ensure effective supervision when questions of privacy rights arise?
The FCA, WhatsApp, and recordkeeping
The FCA surveyed UK banks on the use of encrypted and unmonitored messaging apps like WhatsApp and Signal, with no specific enforcement action currently in the works. Firms must still ensure compliance with recordkeeping rules, regardless of technology used.