This new approach from the SEC stems from an effort to encourage increased compliance, leading to fewer enforcement actions as well as higher penalties for repeat offenders and, ultimately, a more ethical business landscape for clients and customers alike.
Senvest's hefty $6.5 million fine from the SEC, highlight the importance of communication archiving protocols.
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Especially if you work in a highly regulated industry, the platform you communicate on may need to be a particular one in order for those messages to be archived and captured per FINRA and SEC guidelines.
Despite the casual vibe often associated with comms like texts or DMs on Instagram, these exchanges are increasingly admissible as evidence in court.
The allure of communicating on a platform with disappearing messages is enticing because it offers peak privacy and confidentiality.
There’s a lot to consider when choosing an iMessage capture service – but it doesn’t need to be overwhelming. As experts in the field, we’ve compiled four crucial questions to ask any company that’s offering iMessage capture to archive your important data.
Dive into the intricate world of electronic communication oversight with Cheyenne Ehrlich, founder of FirmScribe, and Adam Smallman, Director of membership programs at PEI Group, in this must-watch video.
When looking for an iMessage capture solution, you’ll want one that also complies with Apple’s Terms of Service.
The SEC has expanded its investigation into violations associated with the use of personal messaging devices by broker-dealers, resulting in penalties exceeding $1.8 billion for 16 financial institutions.
There are a few ways to archive your iPhone iMessages. Here, we take a deeper dive into the pros and cons of these options.
We've onboarded over 50k iPhones onto our monitoring platform for oversight, capturing iMessages and iPhone SMS text messages. Here, we share our key learnings.
In the high-stakes world of finance, the cost of non-compliance can be extraordinarily high – to the tune of a recent collective fine of $549 million by the SEC.
Deloitte was slapped with a hefty fine by FINRA for failing to archive over 650,000 iMessages. Learn from their mistake and avoid being next for similar penalties.
Firms that don't archive their messages are at risk of being fined or shut down. If you’re a financial firm, it’s crucial to implement an archiving solution that can keep you protected.
We help Global Relay seamlessly integrate iMessages for efficient archiving. Here, we break down the two ways to archive iMessages in Global Relay.
With over 15% of Americans using iMessage, it's easy to understand why financial advisors want to use iMessage to conveniently communicate with their clients, too.
