From Instagram grids to behind bars: Finfluencers are under investigation
The FCA is cracking down on finfluencers as firms face growing pressure to closely monitor and regulate their social media promotions.
Why message archiving is critical for compliance in 2025
Amid ever-increasing regulatory scrutiny, message archiving for compliance isn’t just a best practice - it’s essential for protecting your business and meeting today’s demanding regulatory standards.
FCA follows the current of reduced regulation
In a major shift from its former 'name and shame' proposed strategy, the FCA is now taking a collaborative approach with firms in order to encourage economic growth by reducing regulatory burdens.
Is recordkeeping the key to managing personal regulatory risk?
Firms need strong recordkeeping to manage personal regulatory risk and meet growing accountability demands. Clear documentation helps prove compliance and shields managers from liability.
Is FINRA focusing on fairness by reducing HSP compliance burdens?
The SEC's January 2025 settlements for off-channel comms violations introduced lighter compliance terms, creating a divergence between earlier enforcement actions that imposed stricter membership oversight requirements on FINRA firms. After the SEC's rejection of a petition to review the pre-2025 settlements, FINRA is now looking to level the field by easing collateral consequences.
Understanding compliance: Definitions, importance, and best practices
Despite the availability of copious communication tools and platforms, email remains the backbone of business communication. Irrespective of the type and purpose of your emails, the reliability of your email delivery has far-reaching implications for your business. That’s where SMTP relay services step in, quietly powering the seamless flow of messages behind the scenes.
Understanding Data Archiving: Solutions and Best Practices
Data archiving is a significant part of a business’s data management system, protecting the integrity of your data by securely storing it.
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.