Blog
By the dozen – SEC fines 12 municipal advisors $1.3 million for off-channel communications
The Securities and Exchange Commission has continued its ongoing crusade against off-channel communications with a spate of recordkeeping fines against 12 municipal advisors.
Recordkeeping requirements for sanctions to extend from five to 10 years under OFAC rules
The Office of Foreign Assets Control (OFAC) has published an Interim Final Rule (IFR) that would extend existing recordkeeping requirements for certain transactions from five to 10 years.
How does voice surveillance differ from other forms of communications surveillance?
As regulators encourage firms to effectively supervise business communications to deter misconduct and maintain compliance, what are the main differences to watch for when monitoring voice communications versus other written digital communications?
Insights
Head to the cloud – 6 simple steps for migrating healthcare data to the cloud
Migrating healthcare data to the cloud comes with multiple benefits for businesses, from cost reduction to increased data availability. Streamline your data migration with these six simple steps.
Managing the compliance risks of ephemeral messaging to meet DOJ guidance in healthcare and pharmaceuticals
Healthcare organizations and the pharmaceutical industry must look to implement solutions to ephemeral messaging in their compliance strategies.
The Compliance Hub
Rules & Regulations
Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance.
Glossary
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
Compliance Insights
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
Broker Dealer Collection
By the dozen – SEC fines 12 municipal advisors $1.3 million for off-channel communications
The Securities and Exchange Commission has continued its ongoing crusade against off-channel communications with a spate of recordkeeping fines against 12 municipal advisors.
Recordkeeping requirements for sanctions to extend from five to 10 years under OFAC rules
The Office of Foreign Assets Control (OFAC) has published an Interim Final Rule (IFR) that would extend existing recordkeeping requirements for certain transactions from five to 10 years.