- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Provided by Global Relay2023-07-11T06:32:00
U.S. regulators signaled through a widespread enforcement sweep against Wall Street banks they are zeroing in on employees’ unapproved uses of electronic communication channels to discuss business-related matters.
Collectively, the cases emphasize the need for financial services firms to enhance their monitoring and recordkeeping obligations.
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