2018 Electronic Communications Compliance Survey Report

Communications compliance practices and examination expectations among compliance professionals in financial services

The Changing World of Compliance

The ways we communicate and conduct business are more fluid than ever before. A conversation may start with an email and then weave itself throughout LinkedIn, text message, and Microsoft Teams. As shifting workplace and investor demographics drive firms to new communication channels, supervision policies and tools need to keep pace.

In the 2018 Electronic Communications Compliance Survey Report, we uncover the greatest challenges facing compliance professionals today.

Download this report to learn how evolving technologies and shifting demographics within the workforce, and within firms' customer bases, are forcing organizations to rethink their approach to the adoption and oversight of electronic communications.

Key Takeaways


Mobile & Social Still Present Challenges for Most Firms

While most firms are well prepared to meet their email supervision responsibilities, mobile and social compliance continues to lag. This will prove problematic as mobile and social channels grow in popularity as workplace communications. 


Confidence in the Efficacy of Prohibition Policies is Low

Firms with policies prohibiting the use of individual communication channels (like mobile/text messaging) for business lack confidence in their effectiveness. 


Firms Looking for Risk in All the Wrong Places

Though firms realize that social and movile are increasingly important, most have been slow to shift their supervision resources in the direction of these burgeoning channels. 

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