Communications practices used by banks and other financial firms have recently come into greater focus amid a probe by US regulators into the use of messaging apps for business communications and whether such channels are subject to appropriate record keeping.
Amid this increased regulatory scrutiny, the expectations for financial services firms to manage misconduct and enhance organisational culture have also never been higher, and this is becoming increasingly difficult in the current environment, characterised by remote working arrangements and constantly changing teams.
Watch this on-demand webinar where our 4 panelists from NICE Actimize, Deutsche Bank, Schroders and Regulation Asia will discuss the tools, controls, and procedures firms should have in place to effectively cover all communications channels in their surveillance programmes, not only to meet regulatory expectations but to help prevent and detect misconduct.
KEY THEMES:
- Regulatory expectations and current trends in communications surveillance
- Conduct risk management in trading environments & client-facing activities
- Effective monitoring of business communications via messaging apps
- Integration of comms and trade data in detection algorithms
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