Communications compliance poses a substantial risk for financial services firms amidst a regulatory landscape marked by consistent enforcement. The era of adopting a passive "wait-and-see" approach is definitively over. It is now imperative for every firm to take a proactive and defensible approach for the preservation and management of employee communications.
Gain valuable insights into best practices for ensuring effective and demonstrable communications compliance from Mitch Avnet from Compliance Risk Concepts, including:
Thoughtful, Right-Sized Policy Sets the Correct Tone
Effective Compliance Goes Beyond Collection and Preservation