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 ...

The Securities and Exchange Commission (SEC) has made headlines with its enforcement actions against Wall Street firms for the use of “off-channel” communications by their supervised persons.

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 ...

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