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Omni channel technology of online retail business. Multichannel marketing on social media network platform offer service of internet payment channel, online retail shopping and omni digital app.
The enforcement settlements have been so eye-popping, making it impossible for firms to ignore that staff may be using non-approved communications devices for work. So ...
Cropped shot of a group of colleagues using their smart phones in synchronicity
A CCO tells of recently discovering that an online tool also can produce automatic transcriptions of meetings, and send the paperwork directly to your e-mail
Employee Retirement Income Security Act ERISA is shown on a photo using the text
Firms must e-mail the DOL by Sept. 15th at QPAM@dol.gov, including “the legal name of the entity and any name the QPAM may be operating ...
New FINRA case adds the new twist of charges against both the firm and a specific person
Handsome young man with tablet in the streets of London
Heed the lessons of the SEC’s latest off-channel communications enforcement action against an adviser and you may well sidestep a similar fate
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
"As with the recordkeeping cases and, frankly, all our cases, we consider whether a firm self-reported and cooperated with our investigation"
One of the seven FAQs addresses IA recordkeeping requirements tied to T+1 transition
Male hand holding smartphone. Businessman using laptop computer and digital tablet while working in the cafe. Mobile app or internet of things concepts. Modern lifestyle in digital age.
Senvest failed to implement procedures to monitor whether its employees were following the firm’s policies concerning work-related communications .... At least three senior Senvest officers ...
Shot of two coworkers having a discussion in modern office. Businessman and businesswoman in meeting using digital tablet and discussing business strategy. Confident business people working together in the office. Creative business persons discussing new project and sharing ideas in the workplace.
Violators included “supervisors and senior-level employees”—including some attached to compliance—who used platforms, such as WhatsApp and text messaging, contrary to firm P&Ps
Smiling business people using digital tablet planning start up project, sharing ideas at workplace. Successful colleagues working in modern office. Business meeting concept
The CFTC enters the regulatory fray over firms' use of off-channel communications for work
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