Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel ...

As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry ...

Addressing employee use of off-channel communications for conducting business was clearly on the minds of compliance officers who responded to Compliance Week’s “Inside the Mind of the CCO” survey, ...

Atlanta-based Birch Communications is a veteran service provider that has gone through a slew of acquisitions – 28, to be exact, over the past decade – in an effort to become more channel-friendly and ...

Off-channel communications have topped investment advisors’ list of ongoing compliance concerns, dethroning the SEC’s Marketing Rule, according to new survey report. The 2024 Investment Management ...

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On Friday, February ...

Most capital markets professionals in the U.S., U.K. and Europe would like to consolidate all their communications channels into a single platform to simplify correspondence, minimize security risks ...

After facing years of hair-raising fines and penalties around recordkeeping violations, some RIA firms might take recent leadership and organizational changes at the Securities and Exchange Commission ...