How can firms maintain SEC Marketing Rule compliance?
Despite a slowdown in regulatory enforcement actions, ongoing Marketing Rule fines have signaled that compliant marketing messaging remains a priority for SEC. Explore how firms can reinforce compliance posture and implement the right tools to follow the marketing rules.
FINRA fines broker $10,000 for off-channel communications breaches
An ex-Wells Fargo broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.
What is data completeness? And why does it matter?
Regulatory expectations around the data firms capture and archive are increasing. It is no longer enough to be able to evidence that you’re capturing communications data – the expectation is that data is captured and archived in its entirety. We explore the new standard of data completeness, and why meeting it matters.
SEC plants crypto recordkeeping seeds with Spring 2025 agenda
Securities and Exchange Commission Chairman Paul Atkins has set the regulator on a course toward crypto with its early ‘Spring 2025’ statement, including proposals to bring crypto under the scope of existing recordkeeping regulations.
SEC fines Massachusetts firm $75,000 for Marketing Rule violation
The SEC has fined a firm $75,000 for violating the Marketing Rule and recordkeeping violations, spurring the firms to implement greater compliance protocols.
Five ways a single-vendor solution can mitigate data governance risks
Learn how a single-vendor solution can capture, store, and monitor business communications to enable complete compliance, all while protecting your data.
FDA takes aim at pharmaceuticals’ social media activity
The FDA is turning its eye towards pharmaceuticals’ social media use. Review the laws and regulations triggering FDA warning letters and how to stay compliant.
FCA Survey finds 178 WhatsApp policy breaches, with over 41% from senior staff
A survey of 11 wholesale banks found that 178 breaches of communications compliance policies were reported, despite firms introducing compliance recording and monitoring solutions, and the majority came from senior employees.
$15,000 FINRA fine for concealing profit-sharing via off-channel communications
A former Charles Schwab representative has been fined $15,000 and suspended for concealing an unauthorized profit-sharing agreement in “thousands” of off-channel text messages and emails.
The Source Podcast: Teamwork makes the dream work – How to get employee buy-in on compliance
In this episode of The Source podcast, we explore why firms are struggling to get employees to stick to compliance rules and to set the right "tone from the top" for them to follow. Featuring special guest conduct, culture, and risk expert Emma Parry.
The emerging core competency of data governance
A good data governance framework requires a wide audit and strategic approach to avoid regulatory risk, and in order to use data as an asset.