Insights
Analysis & Perspectives
How to improve your treatment of vulnerable customers with AI technology
The Covid pandemic and the cost-of-living crisis have increased the number of consumers with characteristics of vulnerability, and the Consumer Duty puts fair treatment of vulnerable customers high on the FCA’s checklist. AI-powered speech analytics such as Recordsure’s Conversation Intelligence…
Broadening oversight of customer interactions with tech and AI
Random sampling leaves a large proportion of customer interactions un-analysed, but intelligent technology such as Recordsure’s Conversation Intelligence lets mortgage QA teams oversee 100% of calls and focus on those that need most attention. Garry Evans and Olivia Fahy explored…
Consumer Duty compliance: why now’s the time to take action
Consumer Duty requires firms to prioritise customer needs throughout the business cycle and evidence that good outcomes are being achieved. Webinar guidance covers sustainable oversight and risk monitoring.
The countdown to Consumer Duty compliance begins
Under the FCA’s Consumer Duty, boards must agree an implementation plan by 31st October 2022, and the rules apply to new and existing products from 31 July 2023 and to closed products a year later. Post-conversation Compliance Analytics helps QA…
How RegTech can help mortgage providers better manage customer safeguarding, consumer duty challenges and cost of living crises
Rising mortgage pressure and Consumer Duty expectations increase the need for better oversight of advice conversations and customer safeguarding.
Consumer Duty: what we know so far and how next-generation RegTech can ease the compliance burden
Consumer Duty increases expectations for consumer protection, governance and outcomes monitoring. Firms need to review customer journeys, complaints handling and interaction evidence while using technology to support, not replace, compliance judgement.
How digital transformation can streamline your compliance process
With more FCA rules and guidance on the way, RegTech and digital transformation help firms keep pace in three ways: simplifying compliance and assuring quality, opening up a more efficient way of working, and codifying best practice within workflows.
Five-Minute Insights: Embedding compliance with RegTech
Sabrina Del Prete’s Five-Minute Insights discussion connects RegTech, internal transformation and compliance. Firms should focus on internal processes, embed compliance into workflows and learn from shared platforms.
Five-Minute Insights: Culture, ESG and Technology
Emma Parry explains how technology can support conduct, compliance and organisational culture when it enhances human advice, supports consistent data capture and helps firms evidence ESG-related purpose and controls.
Five-Minute Insights: Better Experience Powered by Digital Innovation
Ian Ewart argues that wealth managers should treat digital innovation as a way to improve client experience, not only as an efficiency tool. Technology should support transparent engagement, better records and staff who can deliver human service with stronger information.
Wealth and Asset Management 4.0 study – what have we learned?
Recordsure and TCC joined industry experts to discuss findings from a global Wealth and Asset Management 4.0 study. Investor demand is moving towards personalised journeys, ethical practice and digital innovation.
Solving wealth management compliance problems: the Recordsure approach
Recordsure CEO Joe Norburn explains how the firm differentiates itself through wealth management domain training, conversation and document coverage, specialist teams and 100% review coverage at scale.
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Analysis & Perspectives
In-depth analysis on regulation, AI, oversight and customer outcomes for regulated firms.
Case studies
Proven outcomes in practice
Major UK retail bank
Improving oversight and QA across mortgage advice
Read case study: Improving oversight and QA across mortgage advice
Major UK Tier 1 bank
Improving QA oversight and reporting across business banking conversations
Read case study: Improving QA oversight and reporting across business banking conversations
Government Department — UK
Digitalising interview recording to reduce cost and improve efficiency.
Read case study: Digitalising interview recording to reduce cost and improve efficiency.