Key Takeaways The Financial Conduct Authority (FCA) regulates around 42,000 firms in the UK and issued more than £186 million in fines during the 2024/25 enforcement year FCA compliance rests on six pillars: conduct rules, Consumer Duty, recordkeeping, anti-money laundering, financial promotions and regulatory reporting Recordkeeping failures and gaps in communications oversight are among the […]
Communication Surveillance: What It Is and How to Build a Compliant Program
Key Takeaways Communication surveillance is the practice of monitoring and analyzing electronic business communications to detect compliance risks, misconduct and regulatory violations before they become enforcement actions. Regulations including SEC Rule 17a-4, FINRA Rules 3110 and 3120, MiFID II (the EU’s Markets in Financial Instruments Directive), HIPAA and FOIA all mandate some form of communication […]
Regulated Communications: What They Are, Why They Matter and How to Stay Compliant
Key Takeaways Regulated communications include any business message (email, text, chat, voice, social media, video) subject to federal, state or industry-specific retention and supervision rules. Organizations in finance, healthcare, government and education face overlapping regulations (FINRA, SEC, HIPAA, the Sarbanes-Oxley Act (SOX), FOIA) that all require capturing, archiving and producing communications on demand. The shift […]
Best Data Management Tools: A Guide for Compliance-Driven Organizations
Key Takeaways Data management tools span eight categories, from governance and archiving to warehousing, security and beyond, and most organizations need a combination of them. Regulated industries face retention, supervision and legal readiness requirements that generic data management guides routinely overlook. Data archiving is a distinct data management category focused on long-term, searchable, tamper-proof storage […]
Microsoft Office 365 Migration: A Step-by-Step Checklist
Key Takeaways A Microsoft 365 migration touches email, files, identity, permissions, and compliance policies. Skipping any of these creates gaps that show up during audits, ediscovery requests, or user support tickets. Start with clear goals, a complete environment inventory, and a cleanup plan so you don’t move stale, duplicate, or non-compliant data into the new […]
Archive vs. Delete Emails: What’s the Difference and Which Is Better?
Key Takeaways Archiving preserves emails in searchable storage, while deleting removes them permanently after the trash retention window ends. For regulated organizations, deleting emails before the retention period expires can create compliance and legal risk. Gmail and Outlook’s “Archive” button helps manage the inbox, but it is not the same as compliance-grade email archiving. Enterprise […]
Enterprise Archiving and AI: Turning Your Archive Into an Intelligence Layer
Key Takeaways Enterprise archiving is evolving from passive storage into an intelligence layer powered by AI. AI helps compliance teams review communications faster by automatically classifying, summarizing, and prioritizing records. Conversational AI assistants allow users to interact with archived communications using natural language queries. AI-powered transcription, OCR, and sentiment analysis make multimedia communications fully searchable […]
