Watch out for WhatsApp: Does the FCA plan to follow in the footsteps of U.S. regulators?
There has been no shortage of fines for recordkeeping failures in the U.S., particularly from regulators like the SEC and CFTC – though movement from the U.K.’s primary financial regulator seems to point toward a future concentration on the topic.
How does voice surveillance differ from other forms of communications surveillance?
As regulators encourage firms to effectively supervise business communications to deter misconduct and maintain compliance, what are the main differences to watch for when monitoring voice communications versus other written digital communications?
Hold the phone – What are the voice recordkeeping requirements for firms?
A large component of prevalently used messaging platforms is the ability to communicate through voice chat, which poses an avenue for compliance risk. Despite infrequent movement around voice recordkeeping, indications within current regulations and previous enforcements suggest that heightened scrutiny may be on the other line.
Generation AI: What are the recordkeeping rules for generative AI platforms?
Generative AI platforms like ChatGPT have presented financial services with tremendous opportunity and tremendous risk – but how are firms beginning to use them within operations, and what are the implications of these practices? Regulators, including FINRA, have weighed in with enforcements and requirements on how to best proceed in navigating the landscape of AI technologies as they become more multifaceted.
Back to bASICs – Australian regulator sets out expectation for business comms
The Australian securities regulator has joined its global neighbors in clearly setting out expectations around business communications risks, and how firms should mitigate them.
The Source Podcast: Why you can’t scrape by on compliance
In our second episode we're joined by Vince Dimase, Global Director of Customer Strategy, LSEG, as we dive into why scraping is never the solution. While some providers believe scraping is ‘good enough’ when capturing communications, when it comes to compliance firms run the risk of not having the full data picture. We review why native connections and capture-from-source will keep organizations out of regulatory scrapes.
The Source Podcast: Comms Channels – why you need to catch them all
In the first episode of our series, we're joined by Pankaj Anand, Head of Governance Technology Solutions, StoneX, as we explore growing regulatory demands around communications capture, how technological innovation is changing the messaging landscape in real-time, and how regulation expectation is evolving alongside it.
On Demand: Capture if You Can
Watch our on-demand Webinar and join compliance industry experts as they set out key strategies to combat non-compliant communications.
Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines
The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.
Panel discussion: Analyzing data from 10,000 firms on comms capture
Watch on demand: A panel of communications compliance and surveillance experts discuss the findings of our Data Insights: Compliant Communications report, and what they mean for communications capture.
On Demand: Comms in Crisis Webinar
Watch our on demand Webinar and join compliance industry experts as they answer the question: why is it so hard to communicate compliantly?