With regulators expected to continue cracking down on off-channel communication in 2024, experts at law firm Eversheds Sutherland and compliance firm Smarsh are encouraging financial professionals to ...
On February 9, the Securities and Exchange Commission (SEC) announced settlements with 16 firms relating to record-keeping violations stemming from off-channel communications totaling $81 million. The ...
Leaders and employees know they need to keep communications over approved, auditable channels. But an out-of-office message directing a client to a personal mobile number is off-channel. A WhatsApp ...
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