As of November 4, 2022, SEC-registered firms must comply with all provisions of the new Marketing Rule. Read more on the substantive changes ahead.
Global Relay Executive VP of Compliance Chip Jones on digital permanence, remote compliance, and the new realities of electronic record keeping.
Chip Jones shares how workers sending texts and email on personal devices in a remote working environment are amplifying the compliance risks and challenges.
Five best practices for ensuring compliance across your organization when it comes to recordkeeping and supervision requirements for more social media.