Tag: recordkeeping

Regulated firms can record Teams Phone calls in a way that satisfies MiFID II and FCA recordkeeping rules, but only through a certified compliance...

Communications compliance is no longer defined by a single rulebook. It is shaped by a patchwork of regimes, each built for a different market,...

Financial firms are making major decisions about artificial intelligence before regulators have established a dedicated rulebook for the technology. But the absence of AI-specific...

A structural shift is reshaping how regulated firms approach recordkeeping. In an era defined by hybrid working, AI-generated content and multichannel digital conversations, simply...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to the financial services industry: the pace of GenAI adoption is outstripping the...

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...

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 made headlines by imposing fines on another 16 firms.

The wave of recordkeeping enforcement actions in the finance sector has now expanded to brokers, investment advisers, and credit rating agencies. Leading this charge...