Regulatory Wrap Episode 11: Evaluating Trends Over The Years – WhatsApp & SMS – But What’s Next?
In Regulatory Wrap for the week to October 27, 2023, Jennie Clarke explores regulatory enforcement trends from throughout the year - and what these can tell us about potential trends for 2024
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.
Remuneration reduction: the solution for illicit comms?
As more financial institutions act to dock the remuneration of employees who use off-channel communications, we look at whether pay reduction is a long-term fix.
Enforcing from within: Morgan Stanley proactively tackles compliant communications
American multinational investment firm, Morgan Stanley, has taken bold steps to prevent non-compliant communications by issuing employees with financial penalties.
Illicit comms: not just a few bad actors
As technology evolves, it's hard for firms to ensure compliant communications. But does banning certain apps lead to a rise in illicit comms?