The number of digital communication channels has exploded. We hear constantly that compliance teams are struggling to keep pace because they lack visibility and policy supervision controls for new communication channels. The lack of modern compliance capabilities results in higher oversight costs, failure to meet regulatory requirements, and saddles organizations with unnecessary risk exposure.
We gather leading compliance, legal, and policy experts to discuss:
How to navigate a rigorous regulatory environment
Recent SEC and FINRA rule changes
Risk management strategies for new communication channels
How compliance teams can go from blocking to enabling new communication channels