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 ...
On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding “off-channel communications.” 1 As we have previously written about, 2 settlements of ...
Since December 2021, the US Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have been conducting a sweep of Wall Street’s “off-channel” communications—such as ...
Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...
Los Angeles, California - January 12, 2026 - PRESSADVANTAGE - Rocket CRM has announced continued development and ...
The Securities Exchange Commission is trying to instigate deep cultural change around compliance following a high-profile crackdown on ‘off-channel’ communications. Many firms find themselves in a ...
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Unifying communications supervision across channels
If you and your compliance team are jumping between separate systems just to track Slack messages, email threads, mobile chats and collaboration tools, you're not alone. The digital-first workplace ...
Firms attempting to meet regulatory requirements for monitoring employee use of off-channel communications for business purposes face a bedeviling number of obstacles. How much is enough, in the ...
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