Financial Services

Following August 2024's wave of enforcement, an updated overview of the SEC's three year probe into off-channel communications.

Is the SEC Director of Enforcement's vision achievable?

A closer look at the investigation timeline, and why it continues to escalate.

Outside of compliance teams, how does communications surveillance impact other critical roles within an organization?

The financial services sector has recently been hit with huge fines over the widespread use of apps like WhatsApp. How did we get to this stage, and what options do firms now have to avoid these penalties?

The SEC's new Marketing Rule comes into force in November. How can your firm stay compliant and avoid big fines? Read on for all the details.