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US Bank and Oppenheimer & Co fined $6m and $1m respectively for recordkeeping lapses.
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
First UK action by Ofgem on off-channel comms in wholesale energy market.
Patients’ data was added over 500 times in a WhatsApp group, and contained names, phone numbers and addresses.
At a recent monitoring conference, hosted by XLOD, a number of global surveillance leaders gave their views on the oversight of eComms.
WhatsApp and other encrypted messaging services pushed back over fear of risks to people’s privacy and safety.
It’s becoming increasingly clear that financial services firms need to get to grips with personal messaging.