Tag: recordkeeping

Regulated firms can record Teams Phone calls in a way that meets MiFID II and FCA recordkeeping rules. But according to Wordwatch, doing so...

Regulated organisations no longer answer to a single communications compliance rule. Instead, they sit beneath a web of overlapping regimes, each drafted for a...

Reconciliation is rapidly becoming the cornerstone of modern communications governance. As hybrid working, AI-generated interactions and multichannel collaboration tools become standard across financial services,...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to financial firms experimenting with generative AI: adoption is racing ahead, while governance...

The US Securities and Exchange Commission (SEC) has recently issued an order that underscores the Atkins administration’s focus on marketing accuracy, robust recordkeeping, and...

The Financial Crimes Enforcement Network (FinCEN) has recently issued a pivotal final rule that mandates registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish comprehensive anti-money laundering (AML) and countering the financing of terrorism (CFT) frameworks under the Bank Secrecy Act (BSA).

Recordkeeping violations continue to rise, with fines now surpassing $4bn since 2021 due to employees' use of unauthorised communication channels. Regulatory bodies have underscored that merely having off-channel policies is insufficient.

The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.

In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again...

US regulators have imposed significant fines on financial services firms for non-compliance with communication recordkeeping obligations.