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The GuardREC Blog

Posts written by Joachim Thougaard

Joachim Thougaard | 07-Oct-2021 11:13:06

Streamline your compliance efforts with guardREC® Compliance

guardREC® Compliance is a centralized data management and recording system designed and developed for and by compliance officers within the banking and ...

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Compliance
Joachim Thougaard | 07-Oct-2021 11:08:56

5 steps for streamlining your compliance efforts

Streamlining your compliance efforts requires a detailed and actionable plan. Here are five reliable steps you can follow to optimize your efficiency, based on ...

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Compliance
Joachim Thougaard | 07-Oct-2021 11:03:37

Common compliance challenges

Feeling overwhelmed in your role as a compliance officer? Here are five common challenges faced by you and your peers.

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Compliance
Joachim Thougaard | 06-Oct-2021 11:25:38

Customer dialogue across multiple channels

Financial brokers communicate with clients through multiple channels. To comply with regulations you must monitor and record all relevant communication across ...

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Compliance
Joachim Thougaard | 06-Oct-2021 11:21:02

Balancing financial regulations and GDPR

Brokers must comply with both the GDPR and several financial regulations. But what do you do when the requirements clash?

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Compliance
Joachim Thougaard | 06-Oct-2021 11:11:10

Understanding regulatory compliance in financial services

Complete control over all your data is the key to efficient and proactive compliance work in a complicated regulatory landscape.

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Compliance
Joachim Thougaard | 08-Jun-2021 12:31:37

The importance of WhatsApp recording and record-keeping for financial services

WhatsApp has become a favored communications tool for financial advisers and traders looking to arrange deals and provide clients with investment advice – but ...

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Compliance
Joachim Thougaard | 12-Apr-2021 14:04:42

How to transform compliance monitoring with automatic transcription and word spotting

The newest addition to the guardREC® Compliance system aims to make compliance monitoring more efficient and offers new opportunities to show and document your ...

Reading time: 9 min
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Compliance
Joachim Thougaard | 16-Nov-2020 14:46:29

Simplify compliance recording by replacing your complex multi-system setup

Due to the huge variety of available communication tools and possibilities to communicate with customers, it has become extremely difficult to fully comply ...

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Compliance
Joachim Thougaard | 26-Jun-2020 12:54:36

How to meet compliance recording requirements in Microsoft Teams

Microsoft Teams has emerged as the go-to alternative to physical customer meetings within the banking and finance industry. Now, GuardREC is launching a ...

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Compliance
Joachim Thougaard | 21-Aug-2019 11:50:00

How to use GuardREC to develop great Compliance Culture

One of the biggest challenges we hear about is that it is difficult and time-consuming to develop an organisational compliance culture. In this video, we will ...

Reading time: 7 min
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Compliance
Joachim Thougaard | 14-Aug-2019 11:50:00

The 5 recommended steps to work effectively with proactive compliance

Since the implementation of MIFID II, we are constantly hearing about challenges related to recording of client dialogue and staying compliant with regulations.

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Compliance