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 ...

The Securities and Exchange Commission (SEC) has made headlines with its enforcement actions against Wall Street firms for the use of “off-channel” communications by their supervised persons.

On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

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 ...

Following a sweep investigation, financial regulators recently unveiled a string of settlements with large institutions arising out of employees' use of unauthorized or "off-channel" applications such ...

PHOENIX--(BUSINESS WIRE)--A new report released by Virtuous, the world's leading responsive fundraising platform for nonprofits, and NextAfter, a fundraising research lab and consultancy, found that ...