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 ...

After facing years of hair-raising fines and penalties around recordkeeping violations, some RIA firms might take recent leadership and organizational changes at the Securities and Exchange Commission ...

Leaders and employees know they need to keep communications over approved, auditable channels. But an out-of-office message directing a client to a personal mobile number is off-channel. A WhatsApp ...

Lead generation has changed; relying on just one channel like emails or phone calls isn’t enough anymore. Today’s buyers use multiple platforms to communicate, like email, LinkedIn, phone calls and ...

Two billion dollars. That’s how much the US Securities and Exchange Commission had issued in fines and penalties against more than 100 investment advisers, broker-dealers, and other financial firms as ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...

Have you ever felt overwhelmed by endless email threads or struggled to keep your team’s communication organized? You’re not alone. In today’s fast-paced work environment, juggling multiple ...