As long as the firm approves a particular modality for business purposes and establishes the necessary infrastructure to capture, archive and monitor the approved modality, it will be considered ...

March 20, 2024 - Protecting communications in the private workplace has always been challenging. Our constitutional privacy protections are geared to protecting U.S. citizens from the government, not ...

A new report from Global Relay, a leading provider of electronic communication compliance and archiving solutions, spotlights the challenges financial services firms face in maintaining compliance ...

Following a sweep investigation, financial regulators recently unveiled a string of settlements with large institutions arising out of employees' use of unauthorized or "off-channel" applications such ...

Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. On the ...