Financial institutions operating in the capital markets have to be on constant alert to ensure that staff comply with numerous laws, regulations, industry standards and company policies, as well adhere to general standards of behaviour. Misconduct ranges from minor and accidental – such as administrative errors and misunderstandings – to the serious and intentional, such as rogue trading, market abuse, money laundering, fraud, bribery and selling unsuitable services to customers. The consequences can be severe. Firms can be fined and subjected to other penalties, with disastrous effects on reputation, custom, revenues, and share price.

Watch this webinar, hosted by the Financial Times in partnership with NICE, and see how sophisticated surveillance technology is being used to capture and analyse voice, video, and text communications and mitigate the conduct risks facing financial institutions.

Presenters

Niki Fotheringham, Managing Director, Global Head of Surveillance, HSBC		Yasmine Li, Head of EMEA Surveillance, Macquarie Group		Lee Garf, General Manager, NICE Compliance Line of Business		Jonathan Guthrie, Associate Editor and Head of Lex, Financial Times