FINRA and SEC firms need to retain, supervise and produce electronic communications to meet their oversight obligations.
In the 2019 Electronic Communications Compliance Survey, we uncovered the greatest challenges facing compliance professionals. Survey responses indicate that with mobile devices becoming a standard in the workplace, firms must embrace emerging social and collaborative technologies that their employees and clients are using. Check out this infographic to learn more about the investments firms need to make in compliance to later leverage that data for non-examination purposes.