· Luke Faragher · Compliance
Do FCA regulated companies have to record calls?
Some must under SYSC 10A. Most IFAs and insurance or mortgage intermediaries aren't caught by the taping rule at all - but recording is still the pragmatic answer.
Tag: Compliance
· Luke Faragher · ComplianceFCA Market Watch 66 explained: call recording when staff work from anywhere
Market Watch 66 said recording obligations don't stop at the office door - WhatsApp, personal devices and homeworking included. Why it matters more in 2026.
· Luke Faragher · Call RecordingCan you record WhatsApp calls?
WhatsApp has no built-in call recording and the workarounds are unreliable. What actually works, the legal position, and why regulated firms get fined.
· Luke Faragher · ComplianceDodd-Frank text message recording: SMS capture for CFTC Rule 1.35
CFTC recordkeeping treats a text about a trade like any other record. SMS is the hardest channel to capture - here's why, and how SIM-level recording helps.
· Luke Faragher · ComplianceFINRA mobile compliance: where call recording fits
FINRA doesn't tell you how to handle mobiles - it tells you to supervise and preserve. The three policy models firms use, and where recording fits.
· Luke Faragher · ComplianceSEC Rule 17a-4 and mobile call recording: what to capture
SEC 17a-4 makes mobile calls and texts business records. After $2bn+ in off-channel fines, what the rule requires and where SIM-level capture fits.