The new cloud-based audio solution supports a single record for chat and voice for the first time.
Deutsche Bank was not fined as it revealed the cartel to the Commission.
The trade surveillance organization has completed the SOC 2 Type 2 examination.
Enforcement director says repeat offenders "should expect a reassessment of the penalty size."
Prosecutions can provide lessons for firms to improve compliance, governance and trade surveillance.
The bank failed to fully record and retain thousands of calls.
MD of Pershing Operations says the upcoming regulatory agenda presents challenges.
Newer technologies such as AI are infiltrating all areas of life, and compliance is no exception.
Newer technologies enable firms to focus less on maintenance and more on moving the business forward.