Shiran talks to Lou Carlozo, Managing Editor at BAI, on the process of moving from compliance complexity to a RegTech reality.
You can listen to the episode on your favorite platform:
Google Play
Let us know what you think about the episode on Twitter @Shield_F_C
Or connect with Shiran
Multi-communication channels have forever removed the option of a simple email storage server and recorded voicemails and any firm that aims to truly meet regulator requirements to minimize bad actors, in order to reduce the likelihood of fines and reputational damage should be actively exploring multi-channel communications surveillance software.
Multi-communication channels have forever removed the option of a simple email storage server and recorded voicemails and any firm that aims to truly meet regulator requirements to minimize bad actors, in order to reduce the likelihood of fines and reputational damage should be actively exploring multi-channel communications surveillance software.
The Financial Industry Regulatory Authority (FINRA) just announced that it will begin conducting an investigation into retail communications by broker-dealers regarding products and services in the cryptocurrency markets. Some analysts are being bold enough to call this move by the regulatory authorities a “sweep.”
