What does ‘prompt’ mean in communications monitoring and reporting?

We tackle this important question and assess the regulatory expectations around backlogs, speed of reviews and disclosing violations to authorities.

At a recent asset managers compliance roundtable at Global Relay, a number of participants spoke forcefully about the increasing burden that communications surveillance represents.

They said the challenges in this area stem from a rapid increase in the volume of communication being captured as a result of an increase in

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