Financial Compliance - Regulatory vs. Internal

Adhering to compliance requirements is extremely important in order to protect your business and your customers. Additionally, staying compliant is necessary to avoid fines and potential loss of business. While understanding the legal compliance considerations can be difficult enough, many Financial Compliance organizations have additional internal compliance standards to meet as well.

Call Recording can help achieve compliance to both external regulations and internal standards.

  • External regulatory compliance: adhering to standards set by legislative bodies such as the Dodd-Frank Act, and requiring that trade-related communications be recorded and retained in case they are needed for future investigations
  • Internal compliance: following internal procedures and best practices set forth by an organization, possibly including a requirement that all calls be recorded for risk mitigation

Is your organization fully adherent to compliance requirements – both regulatory and internal? As Subject Matter Experts (SMEs) for Call Recording in the Financial Compliance field, we’re able to fully assess your environment, identify compliance gaps, make recommendations, and implement solutions.


Tags: Compliance, Dodd-Frank Act, Financial Compliance

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