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Latest News
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BofA accused by whistleblower of sharing nonpublic information
The bank’s own policy mandates a cooling-off period of two-to-four weeks if bankers speak for any reason to investors that might participate in the deal.
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CFTC fines two firms for firm-wide use of unapproved comms
US Bank and Oppenheimer & Co fined $6m and $1m respectively for recordkeeping lapses.
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Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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How to get a handle on managing electronic communications
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
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Morgan Stanley fined $6.8m by UK energy regulator for comms recordkeeping failure
First UK action by Ofgem on off-channel comms in wholesale energy market.
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NHS Lanarkshire reprimanded for sharing patient data via WhatsApp
Patients’ data was added over 500 times in a WhatsApp group, and contained names, phone numbers and addresses.
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Surveillance leaders apply more resource in leveraging data, tools and people
At a recent monitoring conference, hosted by XLOD, a number of global surveillance leaders gave their views on the oversight of eComms.
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Messaging apps urge UK Government to rethink Online Safety Bill
WhatsApp and other encrypted messaging services pushed back over fear of risks to people’s privacy and safety.