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After regulators fined banks a total of $2 billion for failing to keep proper records of employees’ comms via email and messaging apps, surveillance leaders still cannot agree on the best ways to integrate their capture and archival solutions with surveillance tools, nor even on how to capture and retain modern comms channels.
Communication surveillance is a significant area of focus for banks in 2023. This is partly a reaction to US and UK enforcements in this area, but also recognises the importance of electronic communications as sources of broader conduct risk, and in providing the context for trade surveillance alerts.
Just some of the topics to be discussed include:
- Future-proofing your approach to e-comms surveillance regulatory requirements
- The role of broader surveillance within banks / expanding coverage
- Developing workflow and visualisation tools
- Surveillance of WhatsApp and other social media
- Technology best practice in current e-comms surveillance processes
- Using e-comms to identify broader misconduct and culture issues
- Lexicons vs ML – striking the right balance
- Risk-based surveillance
- Language coverage and identification
- Ensuring diligent record-keeping & capture of unapproved comms channels
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