Off-channel communications—those that occur outside of approved corporate systems—can pose a considerable challenge for regulatory compliance, data security and overall business integrity. The rise of ...

The Securities Exchange Commission is trying to instigate deep cultural change around compliance following a high-profile crackdown on ‘off-channel’ communications. Many firms find themselves in a ...

With regulators expected to continue cracking down on off-channel communication in 2024, experts at law firm Eversheds Sutherland and compliance firm Smarsh are encouraging financial professionals to ...

As mobile apps provide new avenues for advisory firms to connect with clients, a greater focus needs to be placed on keeping those connections compliant. To help firms ensure that their off-channel ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

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 ...

The 3-year-old crackdown now has yielded more than $3 billion in penalties, and regulators show no signs of letting up. Federal regulators have slapped 26 financial services companies with more than ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...