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 ...

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 ...

Channel management is finding the right marketing techniques and sales strategies to reach your target customers. Learn how ...

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 ...

Under Rule 204-2(a)(7) of the Investment Advisers Act of 1940, as amended (the Advisers Act), registered investment advisers are required to preserve in an easily accessible place all original ...