Regulatory Compliance and Surveillance
Solving the Growing Challenges of Effective Ecomms Surveillance
By: Emily WrightRegulators like the SEC and FCA are increasing their enforcement actions relating to communications—particularly off-channel electronic communications (eComms)—and imposing significant financial penalties for not meeting regulatory standards. While many authorities across APAC are yet to implement specific eComms regulation, these global enforcements may be a sign of what is to come for other regions.
Market Colour on E-Communications Surveillance
By: Emily WrightElectronic communications surveillance is a critical compliance function for financial Institutions. However, my recent market research reveals that many banks are struggling with the current state of surveillance technology and tools. this article, also recently published by PIMFA, explores the key findings.
The Tightrope of Trade Surveillance
By: Emily WrightAt the 2024 AsiaPac Surveillance 1LoD conference, I had the privilege of participating in a lively debate on leveraging surveillance technology and AI to increase efficiency in trade surveillance. Along with three other experts, we explored the complexities of this rapidly evolving landscape, discussing the challenges and opportunities faced by financial institutions.
4 Tips to Tighten Your E-Comms Controls
By: Emily WrightIn recent years, the financial services sector has witnessed a series of regulatory fines imposed on firms due to inadequacies in maintaining comprehensive records of employee electronic communications (e-comms). Here I offer 4 practical ways for the small or mis-seize financial firm to tighten their controls.
