Upcoming Webinar: Managing Off-Channel Communications Compliance
8 May 2025
10:00am ET | 3:00pm London | 4:00pm CET
Duration: 50 Minutes
Managing off-channel communications – business interactions occurring outside of approved corporate systems – continues to challenge firms’ compliance efforts. The rise of personal messaging apps, social media, and other unmonitored channels – for example, messaging functionality embedded in an order management system – exposes firms to substantial regulatory risk. Enforcement actions by regulatory bodies, such as the SEC and FINRA, have underscored the critical importance of maintaining comprehensive records of all business-related communications. Since 2021, fines from the SEC and CFTC have totalled more than $3.5 billion, with no signs of regulators slowing down.
To address these challenges, firms must implement robust policies and processes that govern the use of all communication channels where business is conducted. This begins with comprehensive risk assessments to identify potential vulnerabilities, establishing clear guidelines on permissible communication platforms, and ensuring that all business-related interactions are captured, monitored and archived.
The upcoming webinar, “Managing Off-Channel Communications Compliance,” brings together senior RegTech executives and compliance practitioners to explore effective strategies to address these challenges. Attendees will gain insights into best practices for identifying the risks associated with unmonitored communication channels and how to implement effective compliance frameworks within their organisations.
By participating in this webinar, you will:
- Understand the regulatory expectations surrounding all business communications and the implications of non-compliance.
- Learn how to conduct effective risk assessments to identify and address vulnerabilities in your business communications practices.
- Discover best practices for establishing and enforcing policies that govern the use of communication channels.
- Gain insights into technological solutions for capturing, supervising and archiving various forms of communication.
- Explore strategies for fostering a culture of compliance within your organisation through training and leadership engagement.
Speakers:
More about our speakers:
Eren Erman
Global Compliance Technology Lead – Trade & Business Communication Surveillance
Former TP ICAP
Eren is an experienced IT, Regulation, and Trade/Business Comm’s Surveillance professional working in the Commodities & Financial Services sectors for over 15 years. His focus the past 7 years is Regulation, Surveillance, and related technology having previously built PwC UK’s Commodity Regulation & Trade Surveillance practice. Eren currently is the Global Compliance Technology Lead at TP ICAP and oversees the technology program for Trade & Comm’s surveillance across Americas, EMEA, and APAC.
Marili Anderson
Managing Director, Head of Compliance, UK
Rabobank
Marili Anderson is a Senior Head of Compliance with over 20 years of experience in the Financial Services industry and currently holds the Senior Management Functions SMF16 & 17 for Rabobank, London Branch. Marili has held several senior leadership roles in both the Sell-side and Buy-side with Global US and European Firms in the UK and in Europe with global teams based across the world. Marili is a governor of the RMCH Oxford House Charity and a founding member of TechWomen4Boards women’s network. Marili has a Bachelor of Arts with honours from Tufts University, Massachusetts, USA, and a Masters from Sciences Po. in Paris, France. She lives in the beautiful Wiltshire countryside and enjoys sailing in her native Aegean Sea.
Paul Cottee
Director, Subject Matter Expert, Compliance
NICE Actimize
Paul Cottee joined NICE in April 2020 and is based in Hoboken, providing subject-matter expertise for OTC asset classes. Previous roles include Product Management at Nasdaq; Director, Financial Markets Compliance and Surveillance with global financial institutions in New York, Singapore and London; Associate Director, Rates Research for a major bank in London; Bloomberg EMEA SME for FICC; and Senior Futures Advisor and FX Dealer in Sydney. Paul holds a BA in Government and Economics from the University of Sydney and an LL.M in Banking and Admiralty Law from London Metropolitan University.
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