Goldman Sachs has terminated four executives, including its head of transaction banking, for “serious violations” of the firm’s communications policies and failure to cooperate with compliance teams.
Author: Kathryn Fallah
Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements
t record retention is central to financial industry operations – but best-practice makes perfect. Our guide will help your organization abide by regulatory requirements and confirm data is being managed, secured, and archived.
Compliant communications – How financial institutions can manage and optimize Microsoft Teams use
High-profile enforcement actions by the CFTC and SEC against big name banks are proof that regulators see communications and recordkeeping breaches as a culture issue.
AI’s impact on the financial industry – SEC speaks to its risks, revolutionization, and everything in between
In brief: Can machines think? Since Alan Turing asked that question in his paper “Computing Machinery and Intelligence,” published in 1950, it’s become clear that they have the potential to do much more than that. Artificial intelligence (AI) is taking the world by storm, and financial organizations must ensure that they stay ahead of the… Continue reading AI’s impact on the financial industry – SEC speaks to its risks, revolutionization, and everything in between