Off-Channel Communications: Exploring Impact and Emerging Best Practices

Financial services regulators have kept busy levying unprecedented enforcement actions and settlements for digital communications violations that dwarf anything that has come before. The compliance practices of firms of all shapes and sizes have been — and continue to be — scrutinized.

However, the search for best practices remains elusive, as the exact steps to identify and remediate off-channel issues aren’t in any playbooks.

As a leading provider of digital communications capture, retention and oversight solutions, Smarsh has access to a vast network of communications compliance experts. In our pursuit to help firms develop a comprehensive communications compliance strategy, we engaged our network to:

• Address commonly asked questions
• Identify areas of consensus
• Surface ‘better’ practices as the industry matures toward best practices

Download now for insights that can help your firm develop a comprehensive communications compliance strategy.