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 ...

Since December 2021, the US Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have been conducting a sweep of Wall Street’s “off-channel” communications—such as ...

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...

The SEC has increased its enforcement efforts against firms that are registered as broker-dealers and/or investment advisers for alleged violations of federal securities laws involving “off-channel ...

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 ...

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 ...

In any organization, formal communication channels are established to streamline the flow of information, but alongside these formal channels, an informal network known as “grapevine communication” ...