Tag: communication policies

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication...

In the modern interconnected business landscape, the proliferation of communication platforms demands that companies vigilantly monitor and manage various communication channels. According to ACA Group,...

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

In a recent Conduct Risk Assessment of Telephone and Electronic Communications by the Central Bank of Ireland, significant concerns regarding communications compliance have surfaced, especially in hybrid work environments. FinTech Global delved into how offerings such as the Custodia CC1 service can be a solution for these issues.