When it comes to compliance, seeing what happened should include seeing how it happened, and when, writes David Clee
Screenshots and PDFs have long served as the fallback tools of digital recordkeeping. They're easy to create, straightforward to file, and for a long time, they seemed "good enough". But in today's environment, where regulators are demanding complete, contextual, and verifiable records, "good enough" is quickly becoming a liability. As communications become more dynamic and digital interactions more complex, static captures are increasingly out of step with the needs of modern compliance and the expectations of U.S. regulators. Recent guidance and enforcement trends make it clear: par...
To continue reading this article...
Join Professional Adviser for free
- Unlimited access to real-time news, industry insights and market intelligence
- Stay ahead of the curve with spotlights on emerging trends and technologies
- Receive breaking news stories straight to your inbox in the daily newsletters
- Make smart business decisions with the latest developments in regulation, investing retirement and protection
- Members-only access to the editor’s weekly Friday commentary
- Be the first to hear about our events and awards programmes