Tag: Electronic Communications

Preserve eComms or pay the price: The SEC’s 2024 focus on...

The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.

Unveiling the cost of non-compliance: 16 firms hit with $81m in...

In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again...

Custodia’s CC1 Service: Revolutionizing communication compliance in the era of hybrid...

The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.

Regulatory oversight in the crypto realm: A deep dive into communication...

As crypto firms face a challenges, regulators have launched investigations into companies' GRC arrangements.

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