Communications Monitoring Policy Template
Looking to establish a communications monitoring policy for your regulated business? Or are you in the process of updating your current monitoring policy?
Download the Fingerprint Communications Monitoring Policy Template, created in collaboration with top compliance consultants in the industry, to assist your business in achieving exceptional communications compliance.
Our template:
- Defines a set of high-risk behaviours your communications should be monitored for
- Defines which communications channels should be monitored for these behaviours
- Includes a detailed process of how to score each high-risk behaviour when found within a communication item to reflect the severity of risk
- Defines an investigation workflow
Need any help?
If your financial firm needs help ensuring that your electronic communications are monitored to ensure compliance with your regulator (FCA, ESMA, SEC, FINRA, or more), then get in touch. We’d be happy to help!
