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An unprecedented report from RegTech Associates and LeapXpert including a deep dive into all regulatory actions taken globally over the last two years.

The report draws on recent enforcement actions and the insights gleaned from supervisory commentary, offering invaluable guidance to help firms navigate the challenges of electronic communications (eComms) capture and surveillance.

In publishing this commentary, we aim to assist organizations in establishing robust recordkeeping protocols and compliance strategies that will stand the test of time, ensuring their readiness for the future of regulatory oversight.  

Messaging Missteps: The impact of unapproved communications in the financial sector (2020-2023)