A blog about compliance in ATC, Bank & Finance.
In an ideal world, clients stick to the approved channels when they interact with your company. But what if one of your brokers gets a request for a lucrative ...
Three years after it was first launched, the transcription solution is becoming an essential part of the compliance officer’s toolkit. And it’s partly because ...
User friendliness remains top priority with the guardREC® Compliance integration of another major social media platform.
guardREC® Compliance is a centralized data management and recording system designed and developed for and by compliance officers within the banking and ...
Streamlining your compliance efforts requires a detailed and actionable plan. Here are five reliable steps you can follow to optimize your efficiency, based on ...
Feeling overwhelmed in your role as a compliance officer? Here are five common challenges faced by you and your peers.
Financial brokers communicate with clients through multiple channels. To comply with regulations you must monitor and record all relevant communication across ...
Brokers must comply with both the GDPR and several financial regulations. But what do you do when the requirements clash?
Complete control over all your data is the key to efficient and proactive compliance work in a complicated regulatory landscape.
WhatsApp has become a favored communications tool for financial advisers and traders looking to arrange deals and provide clients with investment advice – but ...
The newest addition to the guardREC® Compliance system aims to make compliance monitoring more efficient and offers new opportunities to show and document your ...
Due to the huge variety of available communication tools and possibilities to communicate with customers, it has become extremely difficult to fully comply ...
Microsoft Teams has emerged as the go-to alternative to physical customer meetings within the banking and finance industry. Now, GuardREC is launching a ...
Greater control of company data allows compliance officers to dedicate more time to proactive work and ensures that the company is well equipped to handle ...
