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Chris Hall

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So far Chris Hall has created 1023 blog entries.

Key Takeaways from SEC and FINRA 2020 Priorities Letters

Now that FINRA and the SEC have released their 2020 priorities letters, we can take a closer look at what firms should prepare for this year. In the letters, the regulators highlighted technology-related topics while also focusing on existing priorities, reminding firms of the need to adopt comprehensive supervisory processes that will ensure compliance [...]

January 22nd, 2020|Smarsh|0 Comments

Advertising guidance: Lasers

General: Lasers Lasers can be used for a multitude of treatments, but marketers must in the first instance ensure their device is safe. Marketers are responsible for the classification of their devices, whether for medical or beauty purposes, and ensure that it holds the appropriate CE Marking. Marketers who are unsure about the regulation [...]

January 22nd, 2020|CAP|0 Comments

What is the board’s role in digital transformation?

What is the board’s role in digital transformation? ‘Digital transformation’ has been an ongoing theme in business over recent years. In financial services, for instance, as explored in a recent blog, digital transformation is a concept which has now become central to a successful business strategy. It has led to faster, more cost-effective operations; [...]

January 17th, 2020|board|0 Comments

What is the FCA doing to tackle the ‘loyalty penalty’?

Last week, the Financial Conduct Authority (FCA) published an update on its work to address issues raised in the Citizens Advice ‘super-complaint’. What has the financial regulator done to tackle the failings outlined in the complaint? What was the Citizens Advice super-complaint about? The super-complaint was issued in September 2018. It followed research from [...]

January 17th, 2020|Compliance|0 Comments

6 ways you can improve your marketing approvals process

For regulated Marketing teams, the compliance approvals process is a necessary part of producing financial promotions. That doesn’t stop it becoming a frustration at times. It has the potential to slow down your production and create work via repeated reviews and edits. It doesn’t have to be this way, though. How can you optimise [...]

January 17th, 2020|Marketing|0 Comments

How to Navigate Compliance During Your Skype to Teams Migration

Earlier last year, Microsoft began migrating the Skype for Business application to their Teams collaboration platform. Microsoft touts this as a big win for customers because they will have a more streamlined workflow on the integrated application. Users can collaborate on files, communicate through chat, and have virtual meetings at the same time, on [...]

January 16th, 2020|Smarsh|0 Comments