How a people-first plan ensures effective data governance in the age of AI
Life sciences companies are keen to utilize cutting-edge AI tools and software, but data governance programs need to be in top form first.
Danish FSA finds data completeness failings at three major banks
A thematic study by the Danish financial regulator has identified data completeness and recordkeeping failures relating to voice and electronic communications at Danske Bank, Jyske Bank, and Nykredit Bank.
Four key challenges for compliant mobile communications in healthcare and life sciences
Compliance teams in healthcare and life sciences must balance both regulatory restrictions and the needs of employees to achieve compliant mobile communications with corporate devices.
Third party, outsourced arrangements and the need for a consolidated approach to compliance
Firms must do their due diligence and ensure activities both in-house and outsourced are being monitored to ensure they are compliant.
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.