White Paper

Through the Communications Maze:

Essential Strategies for Surveillance Mastery

 

Providing a comprehensive roadmap for financial firms to build a resilient communications surveillance framework.

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Communications Surveillance Journey

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This white paper explores:

  • The current communications compliance landscape, including the off-channel communications saga and industry challenges and barriers that impede effective supervision.

  • Pillars for effective communications compliance, including establishing comprehensive and tailored policies, creating a culture of compliance, and putting in place robust processes, procedures, and technology.

  • Risk mitigation during a regulatory investigation, including the need for accurate and complete data and the importance of cooperating with regulators.

ArrowExecutive Summary

The financial services industry is under intense regulatory scrutiny, especially regarding communications record keeping and surveillance.

In recent years, enforcement action tied to the unauthorized use of encrypted messaging apps has surged, leading to billions in fines and reputational damage for firms failing to comply with regulations.

As messaging platforms proliferate and market manipulation tactics evolve, many financial firms are struggling to keep pace with regulatory requirements due to outdated surveillance technologies. This white paper provides a detailed exploration of the current communications compliance landscape, discussing the critical challenges that firms face, including the complexity of off-channel communications and the rapid emergence of new communications platforms.

To help firms navigate these challenges, this white paper offers actionable strategies centered around three key pillars: establishing robust policies, fostering a culture of compliance, and implementing effective procedures.

The whitepaper also explores the latest technological advancements that can aid firms in meeting regulatory expectations, from advanced record keeping systems to AI-driven surveillance tools that can detect market manipulation with greater precision.

Ultimately, this whitepaper provides a comprehensive roadmap for financial firms to build a resilient communications surveillance framework that not only meets current regulatory demands but also prepares them for future challenges. By adopting the strategies and technologies discussed, firms can position themselves for long-term success, avoiding the pitfalls of regulatory failures and safeguarding their reputation in a highly scrutinized industry.

ArrowContents

  • Executive Summary

  • The Communications Compliance Landscape

  • The Three Pillars of Effective Communications Compliance

  • Risk Mitigation During a Regulatory Investigation

  • Conclusion

  • How SteelEye Can Help

Through-the-communications-maze-Essential-Strategies-for-Surveillance-Mastery

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Curious to know how SteelEye empowers firms on their communications surveillance journey?

For questions about the white paper, or additional information on how we can help your firm, please contact SteelEye.

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