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Insights and Perspectives
Analysis, news and practical guides for compliance, quality and risk teams in regulated financial services.
Transforming first interactions into trusted client relationships
First interactions shape how prospective clients judge a wealth management firm. Data, touchpoint analysis and lifecycle reuse of regulatory information can help build trusted relationships.
Remote relationship management: the future of wealth management?
Remote relationship management can support wealth clients, but firms must still evidence advice, protect data and maintain oversight across every channel.
Innovation and traditional values: driving change in wealth management
Wealth managers can use technology to strengthen relationship-led service, improve consistency and turn data into practical operational outputs. Client experience, efficiency and compliance insight increasingly reinforce each other.
Recordsure and Wealth Dynamix join forces to transform client engagement at scale
Recordsure and Wealth Dynamix announced an alliance combining Recordsure’s voice and text analytics with Wealth Dynamix’s CLM platform for wealth managers.
Will financial advisers be made to record client meetings?
FCA comments on recording client interactions raise a practical question for advisers: as technology improves outcomes and accessibility, recording may become a wider expectation.
AI, financial services, and the paradox of building trust
AI creates a trust paradox in financial services. Customer-focused explanation and transparent use are essential if AI is to improve confidence in the sector.
Recordsure named in Europe’s ‘Ones to Watch’ list for Innovation
Recordsure was named as ‘One to Watch’ for the Innovation Award in the European Business Awards’ business excellence list.
What can smartphones teach us about compliance and financial services?
The 10:08 phone advert convention shows how legacy processes can persist after their original logic has expired. Financial services firms can apply the same challenge to manual compliance sampling.
Will technology end up protecting or victimising vulnerable customers?
Digitisation can disadvantage customers who rely on physical access, but RegTech can also help firms identify vulnerability and target support more effectively.
Will changes in tech drive changes in regulations?
As RegTech becomes more capable and more widely adopted, regulators may increasingly expect firms to use technology that improves compliance and customer outcomes.
Holding AI to account in financial services
AI can improve efficiency and support customer outcomes, but firms must understand its limits before relying on it for important financial decisions. Hybrid models let technology handle lower-value work while humans retain responsibility for high-stakes judgement.
Compliance embraces tech to drive competitive advantage
Joe Norburn argues that compliance is being reshaped by customer expectations, regulation and technology. As RegTech reduces manual monitoring limits, firms can use customer interaction data to improve oversight, service, sales and training.
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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.