Tag: off-channel communications

The release of the 2026 Annual Regulatory Oversight Report by the Financial Industry Regulatory Authority (FINRA) sets out the regulator’s examination and enforcement priorities...

Mobile communications have become one of the most challenging areas of modern communications compliance. As regulators continue to issue fines linked to off-channel messaging and...

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.