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 the 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.

That is why banks, asset managers and other financial market participants are investing huge amounts in people, processes and technology to monitor staff where ever they are working – on the trading floor, in the office, on the road or at home. Weak legacy systems are being replaced by automated, artificial intelligence-based solutions that capture and monitor all communications and activities to detect suspicious and illegal behaviour and recommend appropriate responses.

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

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New approaches and strategies to manage conduct risk

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