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e-Book: Regulators crack down on use of messaging apps
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.
This e-Book will cover:
- The latest enforcement landscape regarding use of off-channel communications
- Best practices for firms to enhance related policies and procedures
- New Department of Justice guidance addressing messaging apps
Sponsored e-Book
Our e-Books are prepared by Compliance Week and are free to view.
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