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Integrating Communications Surveillance: State of the Union

Integrating Communications Surveillance: State of the Union

Compliance departments are realizing the need for updated policies and enhanced monitoring solutions.

Boston, November 1, 2018 – In today’s technologically dependent world, electronic communications inevitably comprise the backbone of internal and external communications across the globe, and thus are significant data sources requiring surveillance coverage. Despite the rapidly evolving capabilities of e-comms, regulatory oversight of the e-comms arena has been slow to keep up with the exponential growth of mobile communications technology, thus leaving firms to grapple with regulatory gray areas and to develop their own best practices, often by trial and error.

This Impact Note highlights the changing dynamics of e-comms surveillance in the financial world and the crucial role that holistic integration of e-comms monitoring will play in the evolution of the surveillance and compliance technology. It is based on proprietary Aite Group research as well as data collected in surveys executed by Nasdaq and Aite Group in 2015, 2016, and 2017 through the Nasdaq and Aite Group Global Compliance Survey.

This 27-page Impact Note contains 16 figures and one table. Clients of Aite Group’s Institutional Securities & Investments service can download this report, the corresponding charts, and the Executive Impact Deck.

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This report mentions the Chartered Financial Analyst Institute, Nasdaq, and the Securities and Exchange Commission.