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.
The road ahead: A podcast summary on recordkeeping compliance and regulatory action
Regulators have made their view on noncompliance clear as they continue to use a firm hand to squash communications and recordkeeping violations. Global Relay’s Executive VP of Compliance, Chip Jones, spoke to this point in an FCPA Compliance Report podcast, weighing in on what moves organizations can make to ensure they’re not dealt the next costly blow.
Surveil to prevail: An electronic communications webinar recap
The multiplication of communication channels makes it easier than ever before to communicate, yet increasingly difficult to comply within the financial services industry. In a recent webinar, industry experts including Global Relay’s Rob Mason set out how firms can manage risk by attending to surveillance strategies and communicating policies in a way that is comprehensive to employees and mindful of regulations.