Enterprise Number Archiver – Tutorial
Effective Communication Compliance Programs: Metrics, KPIs, and Performance Evaluation
The recent spate of high-profile crackdowns on communication violations has given managements and compliance teams a much-needed reality check. Regulators from industries, especially finance, found a shocking amount of disregard … Read more
Navigating the Financial Landscape: The Crucial Role of FINRA in Regulating Brokers
Hardly a week goes by without a FINRA (Financial Industry Regulatory Authority) announcement or disciplinary action that makes a splash in the US financial markets. The regulator has made it … Read more
Navigating Compliance: Strategies for Singapore Managers to Avoid MAS Fines
Since the inception of the Monetary Authority of Singapore (MAS) in early 1971, the regulator has largely been successful in reining in the excesses of the financial services sector. It … Read more
Best practices for communication compliance training
One of the biggest takeaways for regulated entities from the spate of recent high-profile crackdowns by agencies, including the US SEC, FINRA, and CFTC is the need for employee training … Read more
Communication Compliance with Generative AI Technology
SEC and FINRA Expectations on Communications Compliance Continue to Grow
WhatsApp users can now send view once voice messages
You can now utilize WhatsApp to send voice messages that vanish after being heard. Like all personal messages on WhatsApp, these voice messages are safeguarded by default with end-to-end encryption. … Read more
Feds Warn Companies Not to Delete Slack, Signal Chats
The Federal Trade Commission (FTC) and the Department of Justice (DOJ) have mandated that companies under investigation must furnish their instant messages or risk facing criminal obstruction charges. Amazon and … Read more