The growth of digital communications technology has become both a bane and a boon for compliance workers—particularly those in the financial industry. While electronic communication simplifies many processes, it presents new challenges for staying compliant. A recent survey conducted by e-discovery and compliance solution company Smarsh found that electronic messaging is a growing concern for compliance professionals in the financial services industry.
Smarsh’s fifth annual Electronic Communications Compliance Survey Report, which was released at the 2015 FINRA Annual Conference, highlights gaps in financial services firms’ electronic message compliance programs, and it shows the growing concern for electronic messaging as a player in identifying corporate risk. Text messaging and social media in particular have compliance officers on their toes.
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