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 ...

What does it mean to communicate effectively in an age of multiple channels? Productivity researchers have documented the disruption that flourishes when multiple notifications from multiple ...

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 ...

Mitigating Off-Channel Communications: A Guide for In-House Counsel and Compliance Professionals Off-channel communications—those that occur outside of approved corporate systems—can pose a ...

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 ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...

Lead generation has changed; relying on just one channel like emails or phone calls isn’t enough anymore. Today’s buyers use multiple platforms to communicate, like email, LinkedIn, phone calls and ...