Books and Records

It’s a challenge that gnaws at compliance officers like a pesky summer insect buzzing around your head: ensuring that staff aren’t using so-called off-channel communications ...

Here’s a list of various apps and products your firm’s staff could potentially use to communicate work-related messages

A peer shares an example of a compliance policy and procedure for off-channel communications

RCW has obtained questions SEC examiners ask related to off-channel communications

JPMorgan will pay a $4M penalty for glitch that resulted in 47 million electronic communications being permanently deleted

These proceedings arise out of the deletion by JPMorgan of approximately 47 million electronic communications in about 8,700 electronic mailboxes relating to the period January ...

This annotated example of a communications policy and procedure, updated for off-channel communications, comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral ...

'Pervasive and longstanding use of off-channel communications' costs two broker-dealers over $70M as recordkeeping initiative continues

Latest enforcement actions are a testament to the value of self-reporting and remediation measures taken

SCUSA contacted the Division of Enforcement upon uncovering off-channel communications potentially related to the business of its broker-dealer