Financial Services

The SEC's new Marketing Rule comes into force in November. How can your firm stay compliant and avoid big fines? Read on for all the details.

A look at how JP Morgan’s $200 million fine for noncompliance signifies the end of a grace period for companies to adapt to the shift to a remote/hybrid workforce.

Companies can use archiving software to store texts, emails, and other communications, to remain compliant and minimise liability.

Financial services companies must archive emails to remain compliant with SEC and FINRA rules.

Email archiving has become an essential business function in the financial services industry.

FINRA reviews their rules around social media influencers and customer acquisition - we can’t say they didn’t warn us.