Welcome to the Compliance Learning Portal, your go-to resource for understanding compliance in the financial services industry. This portal offers in-depth knowledge and insights into key areas such as communications capture, archiving, and surveillance, essential as regulatory landscapes evolve and compliance demands grow.
Discover a rich collection of articles, guides, and examples that explore the technologies, processes, and best practices shaping compliance strategies. Whether you’re a compliance professional, a tech expert exploring regulatory impacts, or someone interested in financial regulations, this portal is designed for you.
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. This portal provides a comprehensive introduction to compliance, exploring key regulatory bodies, major regulations, best practices, and essential resources to help you navigate and understand the critical role of compliance in financial services.
Learn MoreLearn how financial institutions systematically capture and record all forms of communication to ensure regulatory compliance and mitigate risks.
Explore the processes and technologies behind securely storing and managing electronic communications to meet legal and regulatory requirements.
Understand how financial services use advanced surveillance techniques to monitor communications for compliance risks, insider trading, and market abuse.