Financial firms continue to struggle to ensure their employees communicate through authorized, monitored channels, even though the rules are widely publicized. "The problem isn't a lack of rules. It's ...

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...

More than two years after announcing the first round of settlements in the ongoing “off-channel communications” probe, the SEC recently announced another round of settlements with 26 financial firms, ...

If you and your compliance team are jumping between separate systems just to track Slack messages, email threads, mobile chats and collaboration tools, you're not alone. The digital-first workplace ...

Two and a half years after the first major settlement with some of the world’s largest financial institutions, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission ...

Dove Soft Limited, a growing cloud-communications and CPaaS provider, has announced the launch of CPaaS 2.0, an AI-powered ...

As if creating policies and procedures to handle employee use of off-channel communications is not difficult enough, there is a subset of channels that can be even more nettlesome: ephemeral messaging ...

Effective communication is crucial for success in today's dynamic business landscape—enabling idea conveyance, collaboration and relationship-building with clients and colleagues. Here are some ...