Financial Services

MirrorWeb has been successfully deployed to hundreds of financial services firms. Find out more with our great reads below.

Gurbir Grewal and 'A Culture of Proactive Compliance'

Is the SEC Director of Enforcement's vision achievable?

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How the SEC Keeps Raising the Stakes on Mobile Messaging

A closer look at the investigation timeline, and why it continues to escalate.

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Communications Surveillance: A Company-wide Consideration

Outside of compliance teams, how does communications surveillance impact other critical roles within an organization?

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Financial Services’ Inconvenient Need for WhatsApp Archiving

The financial services sector has recently been hit with huge fines over the widespread use of apps like WhatsApp. How did we get to this stage, and what options do firms now have to avoid these penalties?

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The SEC's New Marketing Rule: How to Stay Compliant And Avoid Big Fines

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.

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The Compliance Implications of a Remote/Hybrid Workforce in Financial Services

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.

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