Both independent broker-dealers and brokerage companies are dedicating a significant amount of resources to comply with the myriad of SEC and FINRA regulations to capture text messages, record voice calls, … Read more
Call recording is a common business practice that is widely used by companies and organizations across the world. However, before an organization records a particular telephone conversation, it must first … Read more
Regulatory compliance has always been a challenge in the financial services industry. Considered by many as the bane to their success, compliance pushes every financial firm to establish policies and … Read more
Recording telephone conversations with the customer is an important function for many companies in the U.K. Especially in the financial industry, recording customer calls is crucial for monitoring and managing … Read more
Policies, laws, and regulations are necessary to keep the government accountable for its action. One such set of laws are Sunshine Acts, a sub-component of Freedom of Information Acts enacted … Read more
