3 Results
Steve Dourdil Business Development at Kerv Collaborate
If you work in financial services, chances are your organisation has some form of mobile recording solution in place. Although certain firms don’t necessarily have a regulatory requirement to record mobile communications, many choose to anyway as a matter of best practice. For a large percentage of firms though, recording of mobile calls and texts...
23 September 2022 /regulation /wealth Financial Risk Management
It seems hard to believe that it was only 10 years ago that the FSA, as it was known back then, removed the mobile phone taping exemption from the call recording rules introduced in March 2009 with COBS 11.8. The initial legislation, designed primarily to tackle market abuse, required capital markets participants to capture and retain all relevant
30 September 2021 /regulation /crime Financial Risk Management
The Need for Effective, Holistic Compliance Monitoring and Surveillance In a perfect world, financial regulators would exist solely to define the policies and procedures needed to protect consumers, with compliance departments acting in a purely advisory role to help firms apply these principles according to their own unique requirements and str
19 July 2019 /regulation /crime Financial Risk Management
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