Since December 2021, the US Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have been conducting a sweep of Wall Street’s “off-channel” communications—such as ...

Financial firms continue to struggle to ensure their employees communicate through authorized, monitored channels, even though the rules are widely publicized. "The problem isn't a lack of rules. It's ...

In my view, the problem isn’t that we fail to communicate—it’s that we misunderstand what communication truly is.

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

If you and your compliance team are jumping between separate systems just to track Slack messages, email threads, mobile chats and collaboration tools, you're not alone. The digital-first workplace ...