News & Analysis as of

Employee Monitoring Compliance Electronic Communications

WilmerHale

Why Depository Institutions, with or Without Affiliated Securities Firms, can and should Manage Employee Use of Personal Devices...

WilmerHale on

The purpose of this paper is to show how the failure to monitor for and prevent off-channel communications poses risk to traditional depository institutions that are not subject to the jurisdiction of securities-law...more

BCLP

On Watch - Do regulators now expect firms to monitor communications using AI?

BCLP on

Artificial Intelligence (AI) is no longer just a buzzword, but a reality that is firmly on the radar of regulators and regulated firms in the US and UK. Recently, considerable investment into this area has prompted...more

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