Upcoming Webinar: Managing Off-Channel Communications Compliance
8 May 2025
11:00am 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:
Jordan Ho
Programme Director, Compliance Technology
TP ICAP
Jordan has spent the past 10+ years specialising in Communications Surveillance in the Financial Services industry, originally at HSBC as a Compliance Officer before moving into Compliance Change, and now at TP ICAP in Compliance Technology. He has led regulatory enhancements and experienced a wide range of chat, voice, archive, and surveillance platforms. He is passionate about simplifying systems and processes to maximise effectiveness of Surveillance.
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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