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?
You’ve (not) got mail – FCA criticized for 12-month email deletion policy
The Financial Conduct Authority’s decision to adopt a policy of deleting “unnecessary” staff emails after 12 months has received criticism, with commenters suggesting it is “one rule for the regulator and another for the regulated.”
Stored Communications Act
Where is the line? That’s what enforcement agencies and the US government have to consider each time they make a request to access an individual's private electronic communication when building evidence in a case.
CIRO’s 2025 Compliance Playbook: Navigating cybersecurity, third-party risks, and social media rules
CIRO's 2025 Annual Report reveals it's priorities for the year ahead, namely a focus on cybersecurity, third-party risk and social media.
Culture is contagious: Is surveillance your first defense?
The FCA has doubled-down on its focus on conduct and culture, noting that it will be taking direct action against firms that do not have controls to detect misconduct.