Communication Data

Play chess, not checkers: 5 ways firms can fortify policies against noncompliance

Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.

Bigger and better – why growing communications networks need better data connectors

As the platforms we use to communicate have proliferated, so have the compliance challenges and the importance of Connectors.

What do API Fee increases mean for communications compliance?

Technology vendors are increasing or imposing API fees on enterprise users of their collaboration and communications platforms – are they the new ‘cost of doing business’ compliantly?

Mail disorder – J.P. Morgan Fined by SEC for deletion of 47million communications

The financial services giant has been fined $4 million and censured for the permanent deletion of communications data that was required to be retained under Exchange Act rules.

SEC will reward cooperation where firms “mess up” with unauthorized communication

SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?