Firms attempting to meet regulatory requirements for monitoring employee use of off-channel communications for business purposes face a bedeviling number of obstacles. How much is enough, in the ...
Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices ...
A new report from Global Relay, a leading provider of electronic communication compliance and archiving solutions, spotlights the challenges financial services firms face in maintaining compliance ...
Over the next few years, communications leaders will have to rethink how their function operates. Not tweak it. Rethink it.
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