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Insights and Perspectives
Analysis, news and practical guides for compliance, quality and risk teams in regulated financial services.
How to manage social media and regulatory compliance
Steven Hewlett-Light and Juana Diaz discussed whether financial firms can use social media channels such as WhatsApp while staying compliant.
Recordsure listed in the RegTech100 for 2021
Recordsure was named one of the Top 100 Regulatory Technology companies in the world for 2021. The RegTech100 selection recognised market investment, compliance pressure and Recordsure’s voice and document analytics work.
Why wealth managers need tech to become sustainable in a post-pandemic world
The pandemic increased pressure on wealth managers to work more efficiently while maintaining client experience. Carefully chosen technology can reduce administration without removing human advice.
Recordsure collaborates with Microsoft to transform client and adviser experience
Recordsure’s collaboration with Microsoft accelerates transformation of client and adviser experience in financial services and similar regulated industries, with integration opportunities across compliance processes and risk management.
A wealth manager’s guide to keeping office conduct and culture alive
Wealth managers can sustain culture, conduct and compliance in remote or hybrid working by using recorded interactions and practical oversight.
Managing the financial challenge of COVID: The rising wave of debt management cases
COVID increased pressure on debt management operations and raised the stakes for vulnerable customers. Compassion, staff support and scalable monitoring are needed to evidence fair treatment.
Robo-advice isn’t the only way to simplify the advice journey
Robo-advice is not the only form of automation available to financial advisers. Conversation recording, transcription, topic classification and speech analytics can reduce administration while preserving adviser-client relationships.
How are wealth managers using technology to turn customer conversations into insights
Speech transcription and analytics can help wealth managers protect quality, strengthen customer understanding, spot trends and improve efficiency.
New blood: how millennials are managing their money
Millennial scale, digital habits and growing investment interest are changing expectations for financial services technology, with Goldman Sachs and ONS figures showing the size of the shift.
Demonstrating catalysts for change in financial services
The Time Trials whitepaper examines how financial services is changing through technology, regulation, client relationship management and pandemic disruption. It argues that firms need to understand the direction of change to adapt.
Things financial advisers could be doing instead of post-meeting administration
Reducing post-meeting administration gives advisers and paraplanners more time for client meetings, development and industry learning. Recordsure research on potential time savings illustrates the opportunity.
How to drive consistent QA through remote and in-person communication channels
As client meetings move between in-person, telephone and video channels, firms need consistent QA and compliance monitoring. Conversation capture can reduce evidence gaps, support remote supervision and help advisers evidence customer discussions.
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News
The latest announcements, regulatory developments and company updates.
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.