The Conduct Chronicles – The challenge of proving market abuse
With the proliferation of communications channels and the evolution of tech, data completeness has never been more critical in tackling market abuse.
How to overcome the challenges of eComms Surveillance
In 2021, J.P. Morgan was fined $125 million after the SEC found that one of its broker-dealer subsidiaries failed to properly monitor and archive business-related communications. Whatsapp chats and emails were two of the channels highlighted in the legal proceedings, and JP Morgan blamed that fact that they were held on personal devices.
eDiscovery
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