It’s a fascinating time to work in the investment industry. With expanding global markets and cutting-edge innovations in fields such as artificial intelligence and renewable energy, investment ...
The regulator continues a push to crack down on the tracking and use of ‘off-channel’ client communication, such as texting. The Securities and Exchange Commission on Wednesday announced charges ...
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Wall Street Is Still Subject to Off-Channel Communications Fines. Why That Could Change.
What a difference a year—and an election—makes. It was only last fall when the SEC was issuing major fines against brokerage firms for communicating with clients off the approved channels. In January ...
Omar El Bahr is the communication officer at nandbox, he's on a quest to enable everyone to build a mobile app for affordable prices. Digital communication is quickly becoming the norm in the business ...
Are you still using email to communicate with your clients about confidential matters? If so, you might want to rethink that approach. Because when it comes to secure communication, the tide is most ...
As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry ...
Surveillance, monitoring, escalation, and reporting are critical components to regulatory compliance and risk management. So is consequence management. These are especially important given the major ...
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 ...
March 20, 2024 - Protecting communications in the private workplace has always been challenging. Our constitutional privacy protections are geared to protecting U.S. citizens from the government, not ...
CHICAGO--(BUSINESS WIRE)--S-NET Communications, a leader in cloud-based business communications and networking services, today announced the launch of S-NET Engage, a comprehensive, multi-flow contact ...
The Fast Company Executive Board is a private, fee-based network of influential leaders, experts, executives, and entrepreneurs who share their insights with our audience. BY Leena Iyar Onboarding a ...
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