Regulatory Compliance and Surveillance
A Turning Point
By: Emily Wright Published on: 14/04/2025I recently spent time in London, engaging in thought-provoking roundtable discussions about the latest trends in surveillance, the challenges facing conduct and culture agendas in financial services, and numerous one-on-one coffee meetings that revealed what's truly happening within compliance teams across the city. One topic that has notably evolved since my deep dive last January is voice communications surveillance, particularly the application of AI in this space.
Solving the Growing Challenges of Effective Ecomms Surveillance
By: Emily Wright Published on: 23/10/2024Regulators 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.
Following the Rules
I was recently interviewed on the Following the Rules podcast. Host Lucy McNulty and I had a great conversation about my book Behind the Screens and explored various aspects of employee surveillance. If you're interested in these topics, I encourage you to check out the episode!
Market Colour on E-Communications Surveillance
By: Emily Wright Published on: 20/08/2024Electronic 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.
