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Australian regulator calls for tighter supervision of off-channel comms
ASIC joins the ranks of regulators urging market intermediaries to strengthen supervision of representatives’ comms.
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Book Review: Behind The Screens by Emily Wright
Emily Wright’s book on employee surveillance offers invaluable insight into a vital compliance area.
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SEC asks for off-channel messages from firms in expanding investigations
Reuters’ sources say the SEC has collected thousands of staff messages from major investment firms.
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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.
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Cyber Briefing: Experts provide resiliency practices to implement yesterday
Ian Amit and Darren Hayes share their blunt assessment about the cyber threat landscape – and the practical steps needed to navigate it.
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Montana is first US state to prohibit TikTok for consumer users
Montana bans TikTok and paves way for First Amendment legal fights.
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Morgan Stanley hits bankers with $1mn penalties for messaging breaches
Forfeitures after WhatsApp scandal range from a few thousand dollars to more than $1mn per employee