e-Book: Solving the off-channel communications conundrum

Firms attempting to meet regulatory requirements for monitoring employee use of off-channel communications for business purposes face a bedeviling number of obstacles. How much is enough, in the opinion of regulators? How much is too much, in the eyes of employees? Is using internal policies, controls, and training sufficient, or should a firm consider hiring a vendor to help? In this eBook, readers will learn:

• Regulators’ expectations for firms monitoring employee use of off-channel communications
• Strategies for driving cultural change regarding use of off-channel comms
• How technology can help firms in their monitoring efforts
• How a new law in New York could pose hurdles for registered investment advisers