Smarsh Electronic Communications Compliance Report
Survey underscores the need for financial firms to embrace social, mobile and collaboration technologies in order to compete and grow ...
Tag: electronic communications compliance
Communications Compliance: The Takeaway for 2019
Post-Email Channels Deserve Increased Scrutiny Text messages, social media and collaboration platforms are now squarely in regulators’ crosshairs, and organizations ...
What Firms Need to Change in a Social, Mobile World
The New Reality of Compliance More than halfway through 2017, it’s become clear: This is the year that mobile and ...
In Electronic Supervision, Perfection isn’t Mandatory
Regulators don’t expect perfection in your compliance systems, but they will require a clear set of policies governing all communications ...
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- Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz December 5, 2019SEC Charges Iconix Brand Group and Former Top Executives with Accounting Fraud
- Lester Burroughs December 5, 2019SEC Charges Connecticut Man with Defrauding Retail Investors
- SBB Research Group LLC, et al. December 4, 2019SEC Charges Hedge Fund Adviser and Top Executives with Fraud
