Comprehensive guide to eDiscovery solutions for compliance in financial services
In an age where compliance management has never been more critical, join us in this comprehensive guide as we explore eDiscovery solutions, how they can streamline compliance processes, and their role in mitigating risks faced by the financial services sector.
Comprehensive guide to email and instant messaging archiving solutions for compliance
As regulations tighten and digital communication channels multiply, financial services face mounting pressure to securely capture and store business communications. But how can organizations efficiently archive data as more and more conversations are conducted via instant messages, emails, and social media?
What are the benefits of data archiving solutions?
Data archiving solutions are platforms that hold onto your digital company, customer and colleague communications. It’s legacy information or data held ‘just in case’, for compliance purposes, in the event of legal cases, or for auditors who need to to verify the data.
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.
With a changing of the regulatory guard, what are the implications for U.S. off-channel communications?
Susannah Hammond explores what recent changes at the SEC might mean for U.S off-channel communications and recordkeeping enforcements.
Regulators give firms a thumb’s down for not capturing emojis
Regulators are increasingly scrutinizing the use of emojis and avatars in communications within financial services, due to their potential for ambiguity and misuse. There is a growing need for enhanced monitoring to circumvent any risks and to capture misconduct.
FCA bans Crispin Odey as non-financial misconduct focus grows
With the FCA taking action against Crispin Odey, a controversial hedge fund manager who has been the subject of serious misconduct allegations, it seems the regulator is keeping its word on prioritizing non-financial misconduct.
How can communications surveillance help pharma firms avoid fines?
Pharmaceutical companies urgently need robust communication surveillance to avoid data risks and reputational damage.
A new frontier for recordkeeping and surveillance teams
As data comprehensiveness becomes mission critical, the intersection between recordkeeping and surveillance is more important than ever.
On Demand: Compliance & Conversation – Recordkeeping and surveillance
Watch on demand as a panel of compliance and surveillance experts discuss trends including AI, social media, and culture and conduct risks.
IM impact: Are you accounting for emerging instant messaging channels?
Communications compliance persists as a regulatory focus area - but, amid a landscape of fast-emerging instant messaging applications, are firms treating IM platforms as a compliance priority?