- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Aaron Nicodemus2023-12-11T17:42:00
As if creating policies and procedures to handle employee use of off-channel communications is not difficult enough, there is a subset of channels that can be even more nettlesome: ephemeral messaging.
Ephemeral messaging platforms are apps and electronic communication channels where messages are automatically deleted after a set time. Examples include WhatsApp, Telegram, Snapchat, and Signal.
Some ephemeral communications apps, like WhatsApp, also feature end-to-end encryption, which can make it difficult to recover messages in transit. Both the automatic deletion and encryption features of these apps complicate the recovery of evidence during a corporate internal investigation or when complying with a request for information or subpoena.
2024-05-21T12:45:00Z By Ruth Prickett
A recent survey by surveillance technology firm SteelEye found most financial institutions do not monitor their employees’ use of social media or factor in market risks exacerbated by social media posts.
2024-03-06T18:51:00Z By Kyle Brasseur
Ameriprise Financial disclosed it recorded a $50 million accrual related to the resolution of a Securities and Exchange Commission probe into use of off-channel communications by its employees for conducting business.
2024-02-09T17:05:00Z By Aaron Nicodemus
The ongoing off-channel communications sweep by the Securities and Exchange Commission netted 16 more broker-dealers and investment advisers, with the latest wave of fines totaling more than $81 million.
2025-06-26T15:37:00Z By Aaron Nicodemus
Bank examiners at the Federal Reserve Board will no longer assess reputational risk during examinations, a concession to the banking industry already underway with two other U.S. regulators.
2025-05-29T16:07:00Z By Aaron Nicodemus
Corporate governance is, all too often, handed down from generation to generation. Like a well-worn jacket, it works great—until it doesn’t. Typically, it is a crisis that forces companies to reassess their corporate governance framework, as gaps are filled and poor policies rewritten. But it doesn’t have to be that ...
2025-03-10T20:56:00Z By Adrianne Appel
The public reported a 25 percent increase in losses–totaling more than $12.5 billion in 2024–to investment scams, tech rip-offs, and general fraud, according to an analysis by the Federal Trade Commission.
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