Empowering your employees and compliance teams with the right training and real-time resources will greatly reduce these risks.
Compliance Risks in Conferencing and Collaboration Chat
- Users forgetting to provide current, appropriate disclaimers or and lack the provability for auditors that users did provide one
- Outdated or ‘not available’ disclosures for PRIIPS, RegBI, suitability, and more
- Detecting the sharing of confidential data through desktop sharing, screen sharing, or file sharing
- Sending inappropriate content in chat sessions (private and group)
- Displaying inappropriate or confidential images via webcam
Employee Best Practices Reinforcement
Real-time compliance resources
Your solution should have a resource library for your users to present directly from within the video and chat collaboration platform that includes: approved disclaimers, disclosures, privacy statements, authorized presentations, and more!
Company and user-based reporting
- Users should be able to look at how their use of unified communication tools compares to others in the organization from a compliance risk perspective, as well as provides advice on how to reduce risky behavior. Arming users with this information empowers them to more proactive in managing compliance risk for themselves and the firm.
- Compliance, legal, and risk teams need `visibility into when and whether compliance approved resources are being used in meetings, which can be used for internal training or to protect the organizations by providing support to auditors during investigations.
The solution should support your existing video conference and unified communication platforms. A solution that provides extensive integrations gives you flexibility to evolve your collaboration strategy without interruption to your employee compliance enablement program.