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.
Understand why automated communications surveillance is so important and how technology can support your regulated firm to have effective oversight over the risk within your communications data.
Looking to do your communications supervision really well, supported by technology?
We can help! Let’s have a chat.
We also have a pretty decent Supervision Policy you can use – you might already have one, or you may not, but it’s worth checking out.