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 ...
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What is channel management?
Channel management is finding the right marketing techniques and sales strategies to reach your target customers. Learn how ...
With regulators expected to continue cracking down on off-channel communication in 2024, experts at law firm Eversheds Sutherland and compliance firm Smarsh are encouraging financial professionals to ...
On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using ...
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 ...
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