AI Analysis

Regulatory Chatbot

A Llama 3.2 3B-powered simplified chatbot to find out more about regulations for communications within the financial services industry.

Visit
Online Learning

The Compliance Learning Portal

Visit our Compliance Learning Portal to read articles on Compliance in the Financial Services Industry, with a specific focus on Communications Capture, Archiving and Surveillance.

Visit
Online Learning

Test Your Knowledge

Enhance your understanding of compliance in communications capture, archiving, and surveillance within the financial services industry. Are you familiar with the key rules and regulations? Test your knowledge and see how well you know the standards!

Visit
Entertainment

Surveillance Analyst Simulator

A short game to give some educational examples of how a communications surveillance analyst has to review alerts within a surveillance platform. In this simplifed example, you mark an email as a risk or a non-risk and are awarded points based on your responses.

Visit

Explore Compliance

Dive into our articles to expand your compliance knowledge. Stay updated on the latest industry standards.

Visit

Challenge Yourself

Put your compliance skills to the test with our interactive quizzes. See how well you know the rules.

Visit

Unlock Insights

Use AI to analyse and interpret regulatory documents. Gain valuable insights in real time.

Visit

Compliance in the financial services industry ensures that institutions adhere to laws, regulations, and guidelines that protect consumers, maintain market integrity, and stabilise the global financial system. Shaped by major events like the Great Depression and the 2008 financial crisis, the compliance landscape is continuously evolving with stricter regulations and oversight.

Read Article

Learn how financial institutions systematically capture and record all forms of communication to ensure regulatory compliance and mitigate risks.

Read Article

Explore the processes and technologies behind securely storing and managing electronic communications to meet legal and regulatory requirements.

Read Article

Understand how financial services use advanced surveillance techniques to monitor communications for compliance risks, insider trading, and market abuse.

Read Article

Online Learning

Compliance Learning Portal

We have extensive articles in Compliance in the Financial Services Industry, with a specific focus on Communications Capture, Archiving and Surveillance.

Discover More

Test Your Knowledge

These quizzes are designed to test and validate your knowledge of regulatory compliance within the financial services industry. Whether you're just starting out or are an experienced professional, these quizzes offer a structured way to challenge your understanding of key concepts, regulations, and best practices in compliance.

Ready to assess your knowledge? Choose your level and get started.

To learn more about compliance in the financial services industry, click here to navigate to our learning portal.

Introduction Load Quiz
An Introduction to Compliance

Level 1 Quiz
Intermediate
Overview of Compliance at Intermediate Level

Level 2 Quiz
Advanced
Overview of Compliance at an Advanced Level

Level 3 Quiz