Regtech Showcase: Mastering communications monitoring

The SEC has intensified its scrutiny on recordkeeping and monitoring of electronic communications, imposing significant penalties on firms that neglect to monitor, archive, and mitigate risks stemming from digital interactions.

With the surge in ‘off-channel’ communications such as text messages, messaging and collaboration apps, and virtual meetings, distinguishing and managing business activities across these platforms is becoming more challenging.

Our webinar focused on:

  • The SEC’s approach and expectations, what do they want you to look for, and why?
  • The role of technology in consolidating and overseeing data from a wide range of communication channels.
  • How to enhance risk identification and management within your organization.

We were joined by our friends at Fingerprint, who walked us through their communications supervision platform.


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