Fingerprint | Communications Compliance

Does any of this sound familiar to you? Do you wonder if there's a better way to monitor your firm's range of communications? 📱 Using a unified and automated compliance platform, which puts the user experience first, may be your answer... Learn more here: https://lnkd.in/eaGZkewc

💸 A whopping $390 million more fines for 26 broker-dealers who failed to monitor their electronic communications! Yesterday, the SEC announced that they have fined 26 broker-dealers and investment advisers for failing to preserve and monitor their electronic communications. The firms admitted that their personnel sent and received messages on 'off-channel' communications which were not monitored, which violates certain recordkeeping provisions of the Securities Exchange Act, the Investment Advisers Act, or both. This involved personnel at multiple levels of authority, including supervisors and senior managers. Stay ahead of the curve—financial regulators worldwide specify that regulated firms must monitor all electronic communications, both internally and externally, used to conduct business! Get in touch if you'd like to sort your communications compliance now ✅ https://lnkd.in/eaMbBG26 #ComplianceMatters #RegulatoryCompliance #SEC #CommunicationsMonitoring #CommunicationsCompliance

Is ChatGPT the future of compliance monitoring? 🤖 Perhaps, with time... but if you ask us if Large Language Models (LLM) like ChatGPT are ready to be used in compliance right now? Our answer is no, not yet. Here's why... https://zurl.co/tXXw #ArtificialIntelligence #RegTech #Compliance #Innovation #DigitalTransformation #chatgpt

A great article from our friends at Bovill Newgate on how Asset Managers can best tackle market abuse, including the importance of communications surveillance in the process! 📩

Are you doing absolutely nothing to monitor your communications? 😲 Or perhaps conducting random sampling to manage the whole process? If you work in compliance for a regulated financial firm... these are two major signs you should rethink your entire communications monitoring process to meet regulatory requirements. Find out what other signs you should look out for: https://lnkd.in/edUM2KzN

Use WhatsApp compliantly with Fingerprint and keep your clients happy! 📱 Get in touch to learn more about our communications monitoring solution 👇 https://lnkd.in/dt_Ru_Z8

What are the most important areas to focus on in your compliance frameworks? 💡 Hear what Clare Curtis from Effecta Compliance Limited thinks about the issue. Want to learn more? Watch all episodes of the Compliance Catch-Up podcast here: https://lnkd.in/ey2BrRSc

We're halfway through 2024 now with one question... Are you confident that your Regulatory Host or Principal Firm business is keeping up with the latest expectations from the #FCA? 🤔 Read about the FCA's latest guidance below 👇 https://zurl.co/P9iU

A free resource to help you with your e-communications compliance 📱 If you work in compliance for a regulated firm and: 👉 Haven’t conducted an e-communications risk assessment for over a year 👉 Are aware of any new communication channels that your employees use at work (such as WhatsApp) that haven’t been covered in your previous risk assessment 👉 Have introduced any new business products that may change the level of risk applicable within your e-communications Then now is the time to conduct a new e-communications risk assessment. Download our checklist, created with our Compliance partners at Bovill Newgate, to get all the essential questions you need to cover to ensure best practice for your firm. https://zurl.co/Hqpc

THE ELECTION RESULTS ARE FINAL! THE INDUSTRY HAS SPOKEN 🗣 A sharp move towards adopting monitoring tools and regulatory technology to manage your communications compliance in our digital age, and a sharp decrease in manual communications monitoring or in fact, no monitoring at all. And regulated firms are gaining a sharp awareness of their communications compliance requirements by the day... The most important electoral results today, of course 😉 Learn more about Fingerprint: https://lnkd.in/eXNBMyTs #electionresults #communicationscompliance #electionday #compliance