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ASIC joins the ranks of regulators urging market intermediaries to strengthen supervision of representatives’ comms.
Emily Wright’s book on employee surveillance offers invaluable insight into a vital compliance area.
Reuters’ sources say the SEC has collected thousands of staff messages from major investment firms.
JPMorgan must pay a $4m penalty for mistakenly deleting emails, some of which had subsequently been requested in regulatory investigations.
Marketing chief was stripped of stock awards because he deleted business related texts on his personal phone.
Ian Amit and Darren Hayes share their blunt assessment about the cyber threat landscape – and the practical steps needed to navigate it.
Forfeitures after WhatsApp scandal range from a few thousand dollars to more than $1mn per employee