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SYSC 10A
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FCA’s light touch approach on off-channel comms is a warning shot, not a fine
Industry response to the FCA’s multi-firm review into off-channel communications and a comparison with the US approach.
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Robust recordkeeping and comms monitoring essential says FCA
Study reveals picture of uneven compliance and continued breaches by senior staff.
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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.