Tag: Communication Surveillance

In the financial sector, the spotlight has recently intensified on non-financial misconduct, spurred by the Financial Conduct Authority's (FCA) focused initiatives and investigations into issues like sexism, bullying, and discrimination.

2023 was a pivotal year in digital communications governance. In the US, regulatory bodies imposed hundreds of millions in fines, extending their reach from banks to broker-dealers, investment advisers, and credit rating agencies. Similar actions were observed in the UK, with regulatory bodies sanctioning banks and fining firms for non-compliance in trading communications.