Tag: Slack
Recordkeeping enforcement reaches brokers, advisors and credit rating agencies
The wave of recordkeeping enforcement actions in the finance sector has now expanded to brokers, investment advisers, and credit rating agencies. Leading this charge...
Harnessing AI for compliant communication ahead of FCA’s Consumer Duty
The UK's Financial Conduct Authority (FCA) recently released a ten-point checklist for companies in anticipation of the new Consumer Duty regulation set to be enforced on July 31, 2023. This regulation marks a pivotal shift in the regulatory landscape, impacting both new and existing services and products available for sale or renewal.
Why you can’t afford to ignore the compliance risks involved in...
The coronavirus has caused a rapid mass adoption of collaboration tools, but using them involves big risks.