Archiving
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FINRA files complaint against firm for AML, ecomms recordkeeping and more
FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
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All in AI: Global Relay’s Warren Roy on building trust in technology
The CEO and founder of Global Relay highlighted the value of enforcement, data management and entrepreneurship at Canada’s big AI event.
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Negotiating the era of digital accountability
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
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Hacker exploits TeleMessage vulnerability – cybersecurity in the spotlight
A vulnerability in TeleMessage was reportedly exploited to extract archived messages and other data relating to US government officials and companies.
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INTERVIEW: Donald McElligott on a better understanding of communications archiving tech
Julie DiMauro in conversation with compliance supervision expert Donald McElligott on regtech solutions in the communications recordkeeping space.
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Compliance & Conversation: Why is the spotlight on surveillance?
Two leading practitioners shared their thoughts on the role and function of surveillance in changing times.
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SEC says JPMorgan mistakenly deleted 47 million emails
JPMorgan must pay a $4m penalty for mistakenly deleting emails, some of which had subsequently been requested in regulatory investigations.
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Arm & Hammer claws back comp from a top executive over deleted text messages
Marketing chief was stripped of stock awards because he deleted business related texts on his personal phone.