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If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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 the JPMorgan fine was reported in 2022.
First UK action by Ofgem on off-channel comms in wholesale energy market.