Upcoming Webinar: How to apply innovative e-comms surveillance whilst ensuring control, compliance and enhanced productivity19 October 2022
Date: 19 October 2022
Time: 10:00am ET / 3:00pm London / 4:00pm CET
Duration: 50 minutes
Remember the days when email was the predominant media for electronic communications within and among financial institutions? Fast forward to today, and email represents a declining fraction of these e-comms, many of which are hosted by modern collaborative platforms such as Microsoft Teams, Webex, Slack, and Zoom, and all of which are subject to surveillance.
As firms have adopted these voice, video and chat based e-comms platforms, so too have regulators clamped down on compliance, requiring increasing modes of communication to be captured, reviewed and retained. The resulting complexity of achieving compliance has led many firms to limit the functionality of platforms, reducing productivity and return on investment. But there are solutions.
This webinar will highlight e-comms platforms favoured by financial institutions and their regulatory compliance requirements. It will also provide practical advice on how to maximise the value of such platforms while maintaining control and compliance, and review cloud-based Software-as-a-Service (SaaS) compliance and security solutions that can help firms gain a full return on investment and enhance productivity.
Register for the webinar to find out more about:
- Communications platforms used by financial institutions
- Compliance challenges and their after effects
- Approaches to gaining full value from such platforms
- Useful technologies, tools, solutions and and services
- Benefits, beyond compliance, of getting surveillance right
Anish Kalraiya, Head of surveillance UK, Credit Agricole
Jordan Ho, Global Head of Comms Surveillance IT, TP ICAP Group Plc
David Cowland, Independent RegTech Advisor and Specialist in Compliance Change Programmes (Trade and Communication Surveillance)
Garth Landers, Director of Global Product Marketing, Theta Lake
Moderator: Sarah Underwood, Editor,
More About Our Speakers:
Head of surveillance UK
Anish Kalraiya currently works at Credit Agricole as the Head of UK Surveillance. Former places of work include Deutsche Bank and Standard Chartered Bank. He has a varied career background which includes Front Office Operational Risk and being part of the FX Forwards trading desk at Stanchart. Past work experiences have helped mould his Compliance career. His most recent endeavours include managing a small team and focusing on market abuse surveillance across both Trade and E-Communication.
Global Head of Comms Surveillance IT
TP ICAP Group Plc
Jordan has spent the past 8 years specialising in Communications Surveillance in the Financial Services industry, originally at HSBC as a Compliance Reviewer before moving into Compliance Change, and now at TP ICAP in Compliance Technology. He has led regulatory enhancements and seen a wide range of chat, archive, and surveillance platforms. He enjoys helping organisations improve their effectiveness in surveillance through better use of technology.
Independent RegTech Advisor and Specialist in Compliance Change Programmes (Trade and Communication Surveillance)
David has spent nearly 4 decades working in financial services, covering Retail, Corporate and International banking, as well as Wealth and Asset Management, in both business and technology roles. He acts in an advisory capacity across the RegTech industry as an independent expert.
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