Optimising Voice Data Architecture for Regulatory Readiness, Auditability and Operational Control in Financial Services

Voice recording compliance is a regulatory necessity for financial institutions operating under MiFID II, FCA, SEC, FINRA, Dodd-Frank, MAS and other global frameworks. Yet many firms struggle with fragmented, inconsistent, and unstructured metadata that undermines auditability, operational efficiency, and regulatory confidence.

This Kerv whitepaper explores how data normalisation provides a game-changing approach to voice compliance. By structuring voice metadata across Teams, mobile, trading, and global communication channels, firms can achieve consistent audit trails, faster regulatory reporting, and reduced operational risk.

Why Compliance and Operations Leaders Should Read This Whitepaper

For compliance and operations leaders in financial services, this paper provides actionable insights into

• How data normalisation reduces compliance risk, improves regulatory alignment, and enhances operational control.
• Ways to streamline audits, retention, and deletion policies under MiFID II, FCA, SEC, FINRA, GDPR and regional rules.
• The role of data normalisation in supporting AI-driven transcription, surveillance, and advanced analytics for financial institutions.
• Best practices for building scalable, audit-ready, cloud-based voice compliance systems.

Download your copy to learn how your firm can achieve audit-ready, resilient, and regulation-aligned voice compliance architecture.

Separating voice recording capture and assurance is vital for FCA, MiFID II & SEC compliance

Why Compliance Leaders need to act now

For financial institutions in the UK, Europe, the US and APAC, regulatory expectations around voice recording are rapidly changing. Frameworks such as MiFID II, FCA, SEC, FINRA, Dodd-Frank and MAS now demand more than just capturing calls—they require firms to prove the completeness, accuracy and integrity of those recordings.

This whitepaper, The Case for Separating Voice Recording Capture and Assurance of Completeness Functions, explores why regulators, auditors, and forward-thinking firms increasingly see the need for independent verification of voice data—separating the technology that records communications from the systems and services that validate their completeness.

What you’ll learn

Download this paper to understand:

• Why relying on a single vendor to both capture and verify voice recordings creates conflicts of interest and compliance risk.
• How global regulators are moving towards independent oversight of communications data.
• The importance of separating capture and assurance to strengthen auditability, chain of custody and evidential integrity.
• How separation enhances operational resilience and reduces systemic risk.
• Why this approach drives innovation, enabling both capture and assurance providers to focus on their core expertise.

Why Kerv?

At Kerv, we combine deep sector knowledge with hands-on experience delivering compliant voice solutions for global financial services. We understand the challenges of fragmented systems, regulator expectations, and the operational risks firms face. Our approach aligns technology strategy with compliance integrity—helping organisations build future-ready communication governance frameworks trusted by auditors and regulators alike.

Get your copy to discover how separating capture and assurance can help your organisation strengthen compliance, improve auditability, and build resilience in today’s complex regulatory environment.

AI, data sovereignty, and evolving compliance rules in the UK, EU, US, and APAC will shape the next five years

Discover how global voice recording rules are evolving – and what compliance leaders must do to stay ahead.

Financial institutions in the UK, EU, US, and Asia-Pacific face rising regulatory demands around voice recording, surveillance, and data governance. From MiFID II and FCA SYSC 10A to Dodd-Frank, FINRA, and MAS, compliance obligations are expanding—covering not just trading desks, but mobile, cloud, and AI-driven communication platforms.

This exclusive whitepaper explores the next five years of voice compliance, including:

• How regulators will address AI in surveillance, transcription, and fraud detection.
• The impact of data sovereignty and cloud-based storage requirements on global firms.
• Strategies to reduce risk, ensure audit readiness, and build resilient compliance architectures.

Why Compliance and Operations Leaders Should Read This Whitepaper

Built for compliance officers, operations leaders, and regulatory specialists in financial services, this paper provides strategic guidance to navigate global regulations, avoid costly enforcement, and turn compliance into a source of resilience and competitive advantage.

At Kerv, we bring innovation, deep financial sector expertise, and proven compliance technology to help institutions transform voice recording from a regulatory burden into a business asset.

Download this paper now to understand the regulatory outlook, prepare your institution for the future, and ensure your compliance strategy is ready for what comes next.

Unlock AI-powered voice compliance insights to meet global regulations, mitigate risk, and give compliance teams a competitive edge.

Overview

Voice technology in financial services is evolving fast. No longer just a tool for call recording, modern voice compliance solutions are becoming AI-driven, real-time platforms that enhance regulatory readiness, mitigate risk, and improve operational agility. This whitepaper from Kerv explores how investment firms, banks, and financial institutions can leverage data-driven voice technologies to meet global regulatory requirements and gain a competitive edge.

Key takeaways for Compliance and Operations Leaders

• Global Regulatory Insight: Understand evolving mandates across the UK (FCA SYSC 10A), EU (MiFID II), US (Dodd-Frank, FINRA), and Asia-Pacific (ASIC, MAS), including the latest rules around encrypted VoIP, Microsoft Teams, Zoom, and WhatsApp communications.
• AI-Enhanced Voice Technology: Learn how AI-powered transcription, natural language processing (NLP), voice-to-risk engines, and biometric authentication are transforming compliance, security, and operational monitoring.
• Practical Use Cases: See how voice intelligence is applied across investment banking, wealth management, retail, and digital banking—from real-time trading floor surveillance to sentiment-driven client engagement.
• Overcoming Adoption Challenges: Get expert guidance on managing data privacy, legacy infrastructure, hybrid cloud environments, and talent constraints in deploying modern voice compliance solutions.
• Strategic Recommendations: Learn how to implement API-driven, modular voice platforms, operationalize real-time monitoring, and establish governance frameworks for audit-ready, ethical voice data management.

Why Kerv?

Kerv combines deep financial sector expertise with innovative AI voice technology and global regulatory experience. We help compliance and operations leaders transform voice data from a regulatory obligation into a strategic asset—unlocking insights, ensuring security, and future-proofing operations across the UK, EU, US, and APAC.