New Channels, New Challenges – Social media, emojis, and compliant communications
A recent ESMA supervisory briefing has highlighted the potential risks of social media when it comes to investment advice, and FINRA has set out expectations around emojis and compliant communications. How can firms keep pace with emerging technologies and risks?
Compliance & Conversation: Event Overview
In the fast-changing compliance and risk environment, knowledge sharing and learning from collective experience is vital to ensuring organizations can handle today’s challenges – and those yet to come.