Susannah Hammond

Given the new ways of working and communicating there are increasing amounts of personally identifiable information and personal health information data shared across communication platforms…

The last quarter of 2022 saw FINRA continue its focus on communications compliance. Four brokers and a compliance officer faced disciplinary action for a range…

UK regulator fined a trio of brokers almost £5m for failing to have appropriate communications compliance processes in place to fulfill market abuse obligations.

Among other things the clear need for effective policies and procedures governing the use of personal devices and third-party messaging platforms to ensure that business-related…