July 14, 2014

Article in T-C News July 2014

Technology, silos and denial: why record keeping is such a problem for regulated firms

Record keeping is perhaps the area most neglected by UK financial services firms under the FCA’s training and competence regime. What is often misunderstood is that the record keeping standards apply not only to anyone in a control function but also to staff across the business, as well as applying equally across the retail and wholesale sectors.

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By Neil Herbert Articles Blog Share:
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