FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
Archiving
The CEO and founder of Global Relay highlighted the value of enforcement, data management and entrepreneurship at Canada's big AI event.
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
A vulnerability in TeleMessage was reportedly exploited to extract archived messages and other data relating to US government officials and companies.
Julie DiMauro in conversation with compliance supervision expert Donald McElligott on regtech solutions in the communications recordkeeping space.
Two leading practitioners shared their thoughts on the role and function of surveillance in changing times.
JPMorgan must pay a $4m penalty for mistakenly deleting emails, some of which had subsequently been requested in regulatory investigations.
Marketing chief was stripped of stock awards because he deleted business related texts on his personal phone.