On Demand: Capture if You Can
Watch our on-demand Webinar and join compliance industry experts as they set out key strategies to combat non-compliant communications.
Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines
The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.
Panel discussion: What can 10,000 financial services firms tell us about communications capture?
Watch on demand: A panel of communications compliance and surveillance experts discuss the findings of our Data Insights: Compliant Communications report, and what they mean for communications capture.
On Demand: Comms in Crisis Webinar
Watch our on demand Webinar and join compliance industry experts as they answer the question: why is it so hard to communicate compliantly?
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?
12 Do’s and Don’ts of Internal Communications
Internal communication is a vital – but often overlooked – function within a business that can help to reinforce cultural values, ensure employees feel part of something, and even mitigate potential compliance risks. We explore the do’s and don’ts that will enhance your internal communications strategy.
Goldman Sachs sacks four executives for serious violations of communications compliance policy
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.
Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements
It is well known that 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.
Ofgem’s £5.4 million fine shows Morgan Stanley still hasn’t gotten the message on compliant communications
With UK energy market regulator Ofgem fining Morgan Stanley £5.4 million for traders’ use of personal WhatsApp accounts for business, is it time for UK firms to get the message on communications compliance?
Compliant communications – How financial institutions can manage and optimize Microsoft Teams use
IM has become an invariable part of business practice, and among the most notable of these platforms is Microsoft Teams. When utilizing this communication channel, how can financial institutions optimize its usage while handling associated security and regulatory compliance risks?
Culture Wars – Regulators take zero-tolerance stance on the culture behind non-compliance
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.