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A regulator has just sent you an inquiry or a subpoena regarding unauthorized use by one of your employees of text messaging or a third-party electronic communications application.
The banks and brokerages were fined because employees were messaging and texting with clients without recording the communications, as required. And some of the firms' executives lied about it and deleted messages.
The banks and brokerages were fined because employees were messaging and texting with clients without recording the communications, as required. And some of the firms' execs lied about it and deleted messages.
Financial institutions are being hit with millions of dollars in fines from regulators concerned about the use of messaging apps. That's forcing the financial firms to shift gears to deal with the issue.
Financial institutions are being hit with millions of dollars in fines from regulators concerned about the use of messaging apps. That's forcing the financial firms to shift gears to deal with the issue.