Financial firms continue to struggle to ensure their employees communicate through authorized, monitored channels, even though the rules are widely publicized. "The problem isn't a lack of rules. It's ...

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding “off-channel communications.” 1 As we have previously written about, 2 settlements of ...

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 ...

Most capital markets professionals in the U.S., U.K. and Europe would like to consolidate all their communications channels into a single platform to simplify correspondence, minimize security risks ...

If you and your compliance team are jumping between separate systems just to track Slack messages, email threads, mobile chats and collaboration tools, you're not alone. The digital-first workplace ...