Why Monitor Communications? A guide to the FCA’s Regulatory expectations.
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.
Communications Supervision Best Practice, supported by Technology.
Meet our team in London, as we discuss the complexities of communications supervision. The team explore why it is so important to have your regulated financial organisation utilising technology to manage the risk in communications across your business, while meeting your regulatory obligations effectively and efficiently.
Communications Supervision: A growth opportunity for compliance service providers.
We paired up with Broadwalk IT to talk about how offering communications supervision as a service to clients using the right technology can be a fantastic growth opportunity for compliance service providers such as Compliance Consultancies, Regulatory Hosts and Outsourced CCOs.
SHIFT COLLECTIVE | REgulatory HOSTING – THE IMPORTANCE OF TECH ENABLED BUSINESS TRANSFORMATION FOR PRINCIPAL FIRMS
Business leaders from trail-blazing services firms – Bovill, IQ-EQ and Fingerprint – discuss the future of Regulatory Hosting, exploring the opportunity that the FCA’s scrutiny has presented for principal firms that are looking to stick around for the long run, and Appointed Representatives that are looking for guidance on finding Hosting firms that will support them to grow compliantly in the UK’s heavily regulated financial industry.