Infographic: Eight Communications Capture Questions for Compliance Teams

How confidently can your firm account for employee business communications—and produce the records when required?

This infographic sets out eight questions to assess how communications are captured, retained and made available for review. The answers can reveal gaps between established policies, employee activity and the firm’s ability to respond to an audit, examination or investigation.

Eight Questions to Assess Communications Capture

 
Connected Communications Compliance with MCO 

For a closer look at each area, read Best Practices in Capturing Communications for Compliance.

MCO connects communications capture, archiving, search and surveillance across channels, giving compliance teams a consolidated view of employee communications. Firms can apply retention policies, investigate potential misconduct and retrieve records for audits, examinations and regulatory requests.

Learn more about MCO’s communications compliance capabilities, or contact us to discuss your firm’s requirements.