As the platforms we use to communicate have proliferated, so have the compliance challenges and the importance of Connectors.
Compliant communication – what makes it so difficult to control? Financial experts unpack the challenges that coincide with communications, especially when contending with new channels and rigorous regulatory enforcement, and answer pressing questions on how best to navigate them.
Global Relay analyzes the data of over 10,000 regulated financial institutions to provide a unique view of how the industry is capturing communication data, and what the future may hold for compliant communications.
Multiple U.S. and U.K. regulators have taken enforcement action against firms for off-channel communications on WhatsApp, however, the primary U.K. regulator is yet to make it a clear priority. What can we expect from the Financial Conduct Authority (FCA) going forward?
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?
The DOJ released its Evaluation of Corporate Compliance Program (ECCP) amendments in March 2023, which center around communication retention policies for personal devices and messaging applications, as well as compensation criteria in relation to compliance. Subsequent guidelines and enforcements have proved these notions still remain at the front of regulators’ minds.
Instant Bloomberg, also referred to as Bloomberg Chat, is a prominent tool that financial organizations often use to connect and communicate – though it doesn’t come without risks. Enhance your compliance policies when using widespread IM applications to stay at the forefront of success and in good standing with regulators.
In Regulatory Wrap for the week to September 15, 2023, we take a look at the SEC's Marketing Rule and important enforcement action surrounding the topic.