Financial Services is tasked with creating and maintaining a “culture of compliance” within a complex and rapidly shifting regulatory environment. At the same time, the business seeks to leverage new forms of communications to increase engagement with investors, fellow employees, and partners. However, the regulators are clear on one point. Business records, regardless of whether they are created on email, social media, text messages, a CRM or your enterprise collaboration platform, need to be captured, retained and made available swiftly to regulators and in the event of litigation. It’s important to gain an understanding of the challenges that compliance faces and how your firm may avoid the consequences of not meeting the expectations of the regulators.
Read this white paper to learn how to: