Skip to content

Sitemap

Pages

Posts

Articles

Advice From A Consultant: E-Communications Risk Assessment Tips - 3 June 2024
Good FCA News Comes In Threes? What The Latest Headlines Mean For Your Regulated Firm - 27 March 2024
The Great WhatsApp Conundrum: Use Or Ban? - 12 February 2024
Fingerprint Secures Place On RegTech100 2024 List - 24 January 2024
Opinion: British Banks, Want To Retain Your Workers? - 8 January 2024
Three Clear Messages From The FCA To Principal Firms & Regulatory Hosts For 2024 - 2 January 2024
Enable Your Regulated Business To Communicate Through WhatsApp And iMessage Compliantly With Fingerprint And SnippetSentry - 12 December 2023
Financial Firms – 5 Big Signs You Need To Rethink How You’re Supervising Your Communications (And Why) - 25 October 2023
Consumer Duty In Effect, $555mil Fines For Messaging Apps, FCA Supports New ESG Code & More | Latest Financial News Roundup - 22 August 2023
Opinion: Using ChatGPT in Compliance? This AI isn’t quite ready yet. - 21 June 2023
5 Major Benefits Of Using A Multi-Client Supervision Platform For Monitoring Communications - 1 May 2023
The Hybrid and Remote Working Problem: How Do You Monitor Communications Compliantly For Your Client Network or Employees? - 7 March 2023
FCA Tightens Grip On Principal Firms, SEC & FCA Crackdown On WhatsApp, £4m Fine For Failing To Implement MAR & More | Latest Financial News Roundup - 1 March 2023
Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup - 11 November 2022
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup - 28 September 2022
Principal Firms – Final chance to get your house in order before December - 5 September 2022
Which major banks have been fined this month for their unmonitored communications? - 21 July 2022
FCA Market watch 69 | Key Takeaways & Considerations - 20 May 2022
FCA Announces Strategy For 2022-2025. How Will It Impact Your Financial Organisation? - 8 April 2022
Securing The Future For Principal Firms In The UK’s Financial Industry - 13 March 2022
Who is watching the watchdogs? | The potential risk of misuse of surveillance software. - 22 February 2022
Market Watch 68: Data & eComms Surveillance practices under the spotlight. - 23 November 2021
Is your firm potentially at risk of being a vehicle for financial crime? - 16 November 2021
Unlocking the market | Regulatory Hosts & Umbrellas - 6 November 2021
Firms have nowhere to hide on remote work. - 13 October 2021
FCA’s 2020/2021 Annual Report Round-up | Fingerprint - 23 July 2021
Protecting your financial firm’s culture and reputation in 2021. - 29 June 2021
How hedge funds are embracing the new technology driven reality. - 18 May 2021
Tone From Within | Why Personal Responsibility In Compliance Is So Important - 11 May 2021
Our biggest takeaways from the City of London RegTech Report 2021. - 28 April 2021
The importance of continued learning and up-skilling in 2021. - 14 April 2021
Future-proofing your firm | Is it possible to keep up with the pace of technological change? - 7 April 2021
The importance of driving cultural change in Financial Services in 2021. - 26 March 2021
Diving into the FCA’s business plans for 2021. - 5 March 2021
The hidden costs to firms and individuals for non-compliance. - 26 February 2021
The Challenges (and Opportunities) Facing Firms Operating Under A Principles-Based Regulator… - 18 February 2021
Random Sampling does not work to efficiently detect Market Abuse in 2021. - 6 February 2021
The Key To Stopping Market Abuse Before It Happens - 15 January 2021
FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. - 13 January 2021
Drive change, shift perceptions – compliance functions as an asset in financial firms - 8 January 2021
Would the FCA praise or punish your Firm for its COVID remote working practices? - 11 November 2020
Banker acquitted for destruction of evidence after deleting WhatsApp messages. - 10 October 2020
FCA demands that Firms “Avoid Inadvertent Tipping Off” - 16 September 2020
FINRA’s guide to Remote Work and Communications Supervision. - 3 June 2020
Electronic Communications Supervision, and the new FCA Money Laundering Handbook - 18 June 2019

Company News

Fingerprint Secures Place On RegTech100 2024 List - 24 January 2024
Enable Your Regulated Business To Communicate Through WhatsApp And iMessage Compliantly With Fingerprint And SnippetSentry - 12 December 2023
Fingerprint Lands On The RegTech100 2023 List! - 7 December 2022
We’re heading across the pond… USA here we come! - 16 September 2022
Fingerprint Supervision announces a significant strengthening of its Board as it grows. - 7 July 2022
Fingerprint shortlisted in the HFM European Services Awards 2022. - 21 February 2022
Fingerprint + ISS LiquidMetrix | Partnership Announcement | December 2021 - 15 December 2021
RFA + Fingerprint: Partnership Launch – June 2021 - 3 June 2021
Fingerprint Supervision – Platform Updates – May/ June 2021 - 29 May 2021

Compliance Consultants

Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup - 11 November 2022
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup - 28 September 2022
Which major banks have been fined this month for their unmonitored communications? - 21 July 2022
FCA Market watch 69 | Key Takeaways & Considerations - 20 May 2022
FCA Announces Strategy For 2022-2025. How Will It Impact Your Financial Organisation? - 8 April 2022
Who is watching the watchdogs? | The potential risk of misuse of surveillance software. - 22 February 2022
Market Watch 68: Data & eComms Surveillance practices under the spotlight. - 23 November 2021
Unlocking the market | Regulatory Hosts & Umbrellas - 6 November 2021
Firms have nowhere to hide on remote work. - 13 October 2021
FCA’s 2020/2021 Annual Report Round-up | Fingerprint - 23 July 2021
Protecting your financial firm’s culture and reputation in 2021. - 29 June 2021
How hedge funds are embracing the new technology driven reality. - 18 May 2021
Tone From Within | Why Personal Responsibility In Compliance Is So Important - 11 May 2021
Our biggest takeaways from the City of London RegTech Report 2021. - 28 April 2021
The importance of continued learning and up-skilling in 2021. - 14 April 2021
Future-proofing your firm | Is it possible to keep up with the pace of technological change? - 7 April 2021
The importance of driving cultural change in Financial Services in 2021. - 26 March 2021
Diving into the FCA’s business plans for 2021. - 5 March 2021
The hidden costs to firms and individuals for non-compliance. - 26 February 2021
The Challenges (and Opportunities) Facing Firms Operating Under A Principles-Based Regulator… - 18 February 2021
Random Sampling does not work to efficiently detect Market Abuse in 2021. - 6 February 2021
The Key To Stopping Market Abuse Before It Happens - 15 January 2021
FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. - 13 January 2021
Drive change, shift perceptions – compliance functions as an asset in financial firms - 8 January 2021
Would the FCA praise or punish your Firm for its COVID remote working practices? - 11 November 2020
Banker acquitted for destruction of evidence after deleting WhatsApp messages. - 10 October 2020
FCA demands that Firms “Avoid Inadvertent Tipping Off” - 16 September 2020
FINRA’s guide to Remote Work and Communications Supervision. - 3 June 2020
Electronic Communications Supervision, and the new FCA Money Laundering Handbook - 18 June 2019

Outcourced CCOs

Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup - 11 November 2022
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup - 28 September 2022
Which major banks have been fined this month for their unmonitored communications? - 21 July 2022
FCA Announces Strategy For 2022-2025. How Will It Impact Your Financial Organisation? - 8 April 2022
Market Watch 68: Data & eComms Surveillance practices under the spotlight. - 23 November 2021
The hidden costs to firms and individuals for non-compliance. - 26 February 2021
The Challenges (and Opportunities) Facing Firms Operating Under A Principles-Based Regulator… - 18 February 2021
Random Sampling does not work to efficiently detect Market Abuse in 2021. - 6 February 2021
The Key To Stopping Market Abuse Before It Happens - 15 January 2021
FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. - 13 January 2021
Drive change, shift perceptions – compliance functions as an asset in financial firms - 8 January 2021
Would the FCA praise or punish your Firm for its COVID remote working practices? - 11 November 2020
FCA demands that Firms “Avoid Inadvertent Tipping Off” - 16 September 2020
FINRA’s guide to Remote Work and Communications Supervision. - 3 June 2020
Electronic Communications Supervision, and the new FCA Money Laundering Handbook - 18 June 2019

Principal Firms

Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup - 11 November 2022
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup - 28 September 2022
Principal Firms – Final chance to get your house in order before December - 5 September 2022
Which major banks have been fined this month for their unmonitored communications? - 21 July 2022
FCA Announces Strategy For 2022-2025. How Will It Impact Your Financial Organisation? - 8 April 2022
Securing The Future For Principal Firms In The UK’s Financial Industry - 13 March 2022
Market Watch 68: Data & eComms Surveillance practices under the spotlight. - 23 November 2021
Unlocking the market | Regulatory Hosts & Umbrellas - 6 November 2021
The hidden costs to firms and individuals for non-compliance. - 26 February 2021
The Challenges (and Opportunities) Facing Firms Operating Under A Principles-Based Regulator… - 18 February 2021
Random Sampling does not work to efficiently detect Market Abuse in 2021. - 6 February 2021
The Key To Stopping Market Abuse Before It Happens - 15 January 2021
FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. - 13 January 2021
Drive change, shift perceptions – compliance functions as an asset in financial firms - 8 January 2021
Would the FCA praise or punish your Firm for its COVID remote working practices? - 11 November 2020
FCA demands that Firms “Avoid Inadvertent Tipping Off” - 16 September 2020
FINRA’s guide to Remote Work and Communications Supervision. - 3 June 2020
Electronic Communications Supervision, and the new FCA Money Laundering Handbook - 18 June 2019

Regulated Financial Businesses

Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup - 11 November 2022
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup - 28 September 2022
Which major banks have been fined this month for their unmonitored communications? - 21 July 2022
FCA Market watch 69 | Key Takeaways & Considerations - 20 May 2022
FCA Announces Strategy For 2022-2025. How Will It Impact Your Financial Organisation? - 8 April 2022
Who is watching the watchdogs? | The potential risk of misuse of surveillance software. - 22 February 2022
Market Watch 68: Data & eComms Surveillance practices under the spotlight. - 23 November 2021
Is your firm potentially at risk of being a vehicle for financial crime? - 16 November 2021
Firms have nowhere to hide on remote work. - 13 October 2021
FCA’s 2020/2021 Annual Report Round-up | Fingerprint - 23 July 2021
Protecting your financial firm’s culture and reputation in 2021. - 29 June 2021
How hedge funds are embracing the new technology driven reality. - 18 May 2021
Tone From Within | Why Personal Responsibility In Compliance Is So Important - 11 May 2021
Our biggest takeaways from the City of London RegTech Report 2021. - 28 April 2021
The importance of continued learning and up-skilling in 2021. - 14 April 2021
Future-proofing your firm | Is it possible to keep up with the pace of technological change? - 7 April 2021
The importance of driving cultural change in Financial Services in 2021. - 26 March 2021
Diving into the FCA’s business plans for 2021. - 5 March 2021
The hidden costs to firms and individuals for non-compliance. - 26 February 2021
The Challenges (and Opportunities) Facing Firms Operating Under A Principles-Based Regulator… - 18 February 2021
Random Sampling does not work to efficiently detect Market Abuse in 2021. - 6 February 2021
The Key To Stopping Market Abuse Before It Happens - 15 January 2021
FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. - 13 January 2021
Drive change, shift perceptions – compliance functions as an asset in financial firms - 8 January 2021
Would the FCA praise or punish your Firm for its COVID remote working practices? - 11 November 2020
Banker acquitted for destruction of evidence after deleting WhatsApp messages. - 10 October 2020
FCA demands that Firms “Avoid Inadvertent Tipping Off” - 16 September 2020
FINRA’s guide to Remote Work and Communications Supervision. - 3 June 2020
Electronic Communications Supervision, and the new FCA Money Laundering Handbook - 18 June 2019

Regulations and Compliance

Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup - 11 November 2022
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup - 28 September 2022
Principal Firms – Final chance to get your house in order before December - 5 September 2022
Which major banks have been fined this month for their unmonitored communications? - 21 July 2022
FCA Market watch 69 | Key Takeaways & Considerations - 20 May 2022
FCA Announces Strategy For 2022-2025. How Will It Impact Your Financial Organisation? - 8 April 2022
Securing The Future For Principal Firms In The UK’s Financial Industry - 13 March 2022
Who is watching the watchdogs? | The potential risk of misuse of surveillance software. - 22 February 2022
Market Watch 68: Data & eComms Surveillance practices under the spotlight. - 23 November 2021
Is your firm potentially at risk of being a vehicle for financial crime? - 16 November 2021
Unlocking the market | Regulatory Hosts & Umbrellas - 6 November 2021
Firms have nowhere to hide on remote work. - 13 October 2021
FCA’s 2020/2021 Annual Report Round-up | Fingerprint - 23 July 2021
Protecting your financial firm’s culture and reputation in 2021. - 29 June 2021
How hedge funds are embracing the new technology driven reality. - 18 May 2021
Tone From Within | Why Personal Responsibility In Compliance Is So Important - 11 May 2021
Our biggest takeaways from the City of London RegTech Report 2021. - 28 April 2021
The importance of continued learning and up-skilling in 2021. - 14 April 2021
Future-proofing your firm | Is it possible to keep up with the pace of technological change? - 7 April 2021
The importance of driving cultural change in Financial Services in 2021. - 26 March 2021
Diving into the FCA’s business plans for 2021. - 5 March 2021
The hidden costs to firms and individuals for non-compliance. - 26 February 2021
The Challenges (and Opportunities) Facing Firms Operating Under A Principles-Based Regulator… - 18 February 2021
Random Sampling does not work to efficiently detect Market Abuse in 2021. - 6 February 2021
The Key To Stopping Market Abuse Before It Happens - 15 January 2021
FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. - 13 January 2021
Drive change, shift perceptions – compliance functions as an asset in financial firms - 8 January 2021
Would the FCA praise or punish your Firm for its COVID remote working practices? - 11 November 2020
Banker acquitted for destruction of evidence after deleting WhatsApp messages. - 10 October 2020
FCA demands that Firms “Avoid Inadvertent Tipping Off” - 16 September 2020
FINRA’s guide to Remote Work and Communications Supervision. - 3 June 2020
Electronic Communications Supervision, and the new FCA Money Laundering Handbook - 18 June 2019

Regulatory Hosts

Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup - 11 November 2022
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup - 28 September 2022
Principal Firms – Final chance to get your house in order before December - 5 September 2022
Which major banks have been fined this month for their unmonitored communications? - 21 July 2022
FCA Announces Strategy For 2022-2025. How Will It Impact Your Financial Organisation? - 8 April 2022
Securing The Future For Principal Firms In The UK’s Financial Industry - 13 March 2022
Market Watch 68: Data & eComms Surveillance practices under the spotlight. - 23 November 2021
Unlocking the market | Regulatory Hosts & Umbrellas - 6 November 2021
The hidden costs to firms and individuals for non-compliance. - 26 February 2021
The Challenges (and Opportunities) Facing Firms Operating Under A Principles-Based Regulator… - 18 February 2021
Random Sampling does not work to efficiently detect Market Abuse in 2021. - 6 February 2021
The Key To Stopping Market Abuse Before It Happens - 15 January 2021
FCA sets out expectations: Monitoring & Supervision of Voice and Electronic Communications in the Office and Home Working. - 13 January 2021
Drive change, shift perceptions – compliance functions as an asset in financial firms - 8 January 2021
Would the FCA praise or punish your Firm for its COVID remote working practices? - 11 November 2020
FCA demands that Firms “Avoid Inadvertent Tipping Off” - 16 September 2020
FINRA’s guide to Remote Work and Communications Supervision. - 3 June 2020
Electronic Communications Supervision, and the new FCA Money Laundering Handbook - 18 June 2019