Communications Monitoring

MirrorWeb, a prominent player in the digital communications archiving and regulatory compliance software arena, has successfully secured a $63m growth equity investment from Mainsail Partners.

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication recordkeeping requirements. This latest enforcement wave pushes the total fines levied for similar violations to over $3bn, underscoring the serious, ongoing issue of non-compliance within the industry.

In the dynamic realm of regulatory compliance, traditional surveillance techniques are no longer sufficient. As regulatory frameworks evolve, adopting cutting-edge technologies is crucial for firms aiming to stay ahead.

In today’s digital age, reliable communication networks are vital for business operations, especially in the financial sector.

Verizon has long been a leading carrier in business communication, particularly in the financial services sector. With over 99 million postpaid connections, Verizon’s robust network facilitates vital communication channels, especially through SMS, which is critical for transaction alerts, client communications, and internal coordination within financial institutions.

In today's fast-paced digital landscape, financial services organisations face the dual challenge of maintaining regulatory compliance while ensuring efficient communication. The integration of Theta...

With regulatory fines for inadequate eComms surveillance soaring in 2024, eflow Global has introduced an upgraded version of its AI-driven platform, TZEC.

As technology continues to evolve over the long-term, one particular trend we can expect to remain is that of the role of voice – especially within the field of communications compliance. As we look towards the future, how can this technology bring change to the financial industry?

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

At a recent RegTech event in NewYork, topics ranged from AI and blockchain to cybersecurity and IoT, but the standout issue was voice compliance, which consistently emerged across various discussions.