Tag: electronic communications
Unveiling the cost of non-compliance: 16 firms hit with $81m in...
In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again made headlines by imposing fines on another 16 firms.
Custodia’s CC1 Service: Revolutionizing communication compliance in the era of hybrid...
The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.
Regulatory oversight in the crypto realm: A deep dive into communication...
As crypto firms face a challenging winter season marked by an industry shakeup, regulators have launched rigorous investigations into companies' governance, risk management, and...
Shield FC updates eComms data management platform
Shield Financial Compliance has launched a new version of its electronic communications data management platform and compliance reporting suite.
