Useful guides

Free Sample Communications Supervision Policy

Sample Communications Supervision Policy

Need some help establishing a communications supervision policy for your directly regulated financial Firm?

Download our free sample supervision policy to get an idea of what an excellent communications supervision policy should look like.

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Regulations for Communications Monitoring Guide

Regulations for Communications Monitoring – FCA, ESMA, SEC and FINRA

What regulations do firms need to follow around monitoring their communications to manage risk and conduct?

Find out what regulations the FCA, ESMA, SEC and FINRA have set out around communications monitoring which regulated financial firms must follow.

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FCA Regulatory Requirements - SYSC Guide to Communications Monitoring

FCA SYSC Handbook

Why do regulated firms need to record and monitor communications?

We concisely outline the core framework for supervision and oversight from the Financial Conduct Authority‘s Senior Management arrangements Systems and Controls (SYSC) Handbook, explaining why “adequate risk management systems to ensure your firm is taking reasonable care to organise and control its affairs responsibly and effectively” is so important.

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Communications Monitoring As A Growth Opportunity Fingerprint Guide

Communications Monitoring As A Growth Opportunity – For Compliance Service Providers

How is offering communications monitoring as a service to your client network the key to growing your compliance service business?

Find out how the need for effective communications monitoring is growing substantially in the financial industry with the rise of hybrid and remote working, and how your compliance service firm can use RegTech to deliver this service up to 90% more efficiently and as a result grow substantially.

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Want to run effective communications monitoring programmes?

Find out how Fingerprint can support your organisation to have effective and efficient oversight over communications, conduct and more with our unified Communications Supervision platform.

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