Ofgem
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Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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Recordkeeping fines and actions
A list of the institutions fined for recordkeeping failures involving at least some combination of texts, WhatsApp messages, and audio files, if not other communications formats, since September 2020.
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Morgan Stanley fined $6.8m by UK energy regulator for comms recordkeeping failure
First UK action by Ofgem on off-channel comms in wholesale energy market.