Financial firms continue to struggle to ensure their employees communicate through authorized, monitored channels, even though the rules are widely publicized. "The problem isn't a lack of rules. It's ...

A new report from Global Relay, a leading provider of electronic communication compliance and archiving solutions, spotlights the challenges financial services firms face in maintaining compliance ...

Two and a half years after the first major settlement with some of the world’s largest financial institutions, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission ...

Mitigating Off-Channel Communications: A Guide for In-House Counsel and Compliance Professionals Off-channel communications—those that occur outside of approved corporate systems—can pose a ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...

Lead generation has changed; relying on just one channel like emails or phone calls isn’t enough anymore. Today’s buyers use multiple platforms to communicate, like email, LinkedIn, phone calls and ...

As businesses adopt more tools and platforms, communication also helps ensure that new systems are used clearly and consistently rather than creating additional confusion.