Ofgem – Global Relay Intelligence & Practice

Ofgem

Fintech

Comms monitoring takes centre stage with global regulators

November 1, 2023

If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.

Eoghan Hartigan | Bovill Newgate, Damon Batten | Bovill, Sylvaine de Gantes | Bovill4 min read
Compliance

Recordkeeping fines and actions

September 11, 2023

A list of the institutions fined for recordkeeping failures involving at least some combination of texts, WhatsApp messages, and audio files, if not other communications formats, since September 2020.

GRIP4 min read
Regulation

Morgan Stanley fined $6.8m by UK energy regulator for comms recordkeeping failure

August 23, 2023

First UK action by Ofgem on off-channel comms in wholesale energy market.

Martin Cloake2 min read