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?
Raising your Archiving IQ: Healthcare to take care
Does your organisation have all the tools it needs to properly preserve and capture all business communications?
6 tips to enhance eDiscovery practices for healthcare
Does your organization have sound eDiscovery processes in place? Receive tips you can employ in preparation for a potential investigation or audit.
Regulators drop their mics in their quest to preserve voice comms
As regulatory scrutiny increases around voice capture, it is essential that financial services adopt voice surveillance solutions to prevent market abuse and non-financial misconduct.
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.
Regulatory Compliance
Regulatory compliance is a demanding process for corporations, especially when operating in multiple global locations. With varying demands across different regions, it can feel like a bit of a juggling act to comply.
Bad finfluence – Is influencer marketing worth the risks?
With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?
Are conduct and culture moving up U.S. regulators’ agendas?
Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.
Compliance & Conversation: Exploring DORA
On 3 July, 2024, we were joined by compliance and surveillance experts for our Compliance & Conversation event. Bradley Rice, Partner, Financial Services Regulation at Ashurst, explored the potential impacts of upcoming EU operational resilience legislation – DORA.
On Demand: Compliance & Conversation – Exploring DORA
Watch on-demand and learn what the EU's Digital Operational Resilience Act (DORA) means for the financial services space.
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.