CPE Webcast: WhatsApp and off-channel communications: Lessons for the rest of us
The SEC and CFTC spent the latter part of 2022 issuing a series of exceptionally large enforcement actions against financial services firms over unapproved communications tools. Most of these actions stemmed from recordkeeping violations.
June 28 | Mobile compliance made easy: Best practices for small firms
In today’s fast-paced business world, firms must adapt to the ever-changing mobile compliance and technology landscape to stay competitive.
CPE Webcast: Communications intelligence: Shifting mindset to business transformation
The significant transformation of hybrid work has forced a lot of chief compliance officers to start to think about ways they can better manage their digital communication tools and channels.