Monitoring and Compliance

Blog
19 Aug, 2026
WhatsApp Compliance in Financial Services

WhatsApp compliance in financial services: why a ban is no longer enough For years, the standard answer to WhatsApp in regulated firms was simple: ban it. Write a policy prohibiting business communication on personal messaging apps, ask staff to sign it, and move on. That approach has now failed publicly, repeatedly and expensively. In 2024, the US Securities and Exchange Commission fined 26 broker dealers and investment advisers a combined 390 million dollars for failing to preserve electronic communications, with...

Blog
18 Aug, 2026
MiFID II Call Recording Requirements in 2026

MiFID II call recording in 2026: from sampled playback to full surveillance When the Markets in Financial Instruments Directive II came into force in 2018, most firms treated the recording obligation as a technology procurement exercise. Buy a recording platform, switch it on for the trading floor, tick the box. Nearly a decade on, recording the calls has turned out to be the easy part. The requirements that now determine whether a firm passes regulatory scrutiny are the harder ones:...

Blog
21 Dec, 2023
3 Steps to Simplifying Your Legacy Voice Data Management in 2024

Legacy voice data can be challenging for organisations – often difficult to keep track of, manage, and adhere to regulatory demands. Nevertheless, there are a few key steps that can be taken to simplify legacy voice data management.  1. Consolidate your View of your Legacy Voice Data For organisations with considerable legacy voice data estates, one of the biggest challenges is keeping tabs on many different storage solutions that may be in use simultaneously. Because the nature of voice recording...

Blog
19 Jun, 2023
INFOGRAPHIC: 10 common 'trader speak' expressions decoded

As international hubs where individuals from different backgrounds and cultures come together, the diversity of trading floor and banking environments can introduce complexities in voice transcription due to variations in accents, dialects, and industry-specific jargon. Compliance teams must ensure that transcriptions accurately capture the intended meaning of conversations, even when language barriers or technical terminology exist. The majority of errors or inaccuracies in transcriptions often come from transcription engines which are unable to cope with trader speed and jargon. This...

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