DOJ unveils “significant change” in ECCP approach to communication platforms
“Significant changes” have been made to the DOJ's ECCP (Evaluation of Corporate Compliance Programs) with a focus on the use of personal devices.
Illicit communications and where to find them
Regulators are tightening their net to catch firms who fail to prevent the use of illicit communications. We look at where off-channel communication channels are hiding, and how to find them.
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.
5 key messages from FINRA’s 2022 Report
FINRA has published its annual Examination and Risk report. We take a look at the five key provisions of FINRA’s Report for end-to-end communications and data – from restricted channels to regulatory reporting.
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?
SEC will reward cooperation where firms “mess up” with unauthorized communication
SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?
WhatsApp Enable Your Business
Watch our latest webinar to learn how to use WhatsApp for business while still meeting your regulatory recordkeeping requirements.
Turning Up The Volume
Covid-19 has made electronic-voice communication the norm, creating a spike in the amount of data that regulated firms have to monitor for compliance. In this article we chart the rise and rise of voice transcription as a way to identify risk in audio communication.
Reflections from FINRA: Compliance Transforms for a Digital-First Future
Global Relay Executive VP of Compliance Chip Jones on digital permanence, remote compliance, and the new realities of electronic record keeping.
Engineered Anonymity: How Blockchain is Disrupting Secure Messaging
Messaging platforms built on blockchain technology could redefine what “secure” means in messaging. Currently unregulated, what are the rules of engagement for regulated firms?