Gone are the days when compliance could assume all communications channels were monitored within the safety of the firm’s firewall. Communications between firms and their clients have become as decentralised as digital assets. Recent fines for improper WhatsAp monitoring and missing 250 hours of YouTube have shaken compliance teams. The FCA’s May 22 Market watch 69 observes a number of policy shortcomings in market conduct and AML policy but remains silent on technology. Richard Bain, State Street, Shaun Hurst, Smarsh and Sam Tyfield, Shoosmiths debate the appropriate RegTech strategies and the business cases which will unlock the funding for them in advance of JWG’s 23 June Seminar.
See JWG analysis here.
Speakers and Guests
PJ Di Giammarino
Vice President, Ethics Control Room & Incident Management Team, State Street Corporation
Technical Director, International
Aired on: September 17, 2021
Aired on: March 18, 2021
Aired on: February 1, 2021