As the financial industry evolves, U.S. regulators have demonstrated their determination to keep pace with advancing platforms and ensure retention across all electronic communications. Beyond traditional mediums, regulators are concentrating on prevalent channels like text, instant messaging, and social media. Obtain an overview of several eye-catching enforcements and understand the timeline of recordkeeping failure fines for modern methods of communications.
U.S. regulatory enforcements against non-compliant electronic communications
Obtain an overview of the direction U.S. regulators have taken in approaching non-compliant communications, highlighting notable enforcement actions for channels like text, instant messaging, and social media.
