Financial Services

Is the SEC Director of Enforcement's vision achievable?

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

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

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?

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.