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 ...

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 ...

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 ...

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 ...

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 ...