White Paper

Off-Channel Communications Enforcement Intensifies, Compounds Importance of Comprehensive Information Governance

Scrutiny over off-channel communications and emerging data sources such as modern communications tools, collaboration platforms, personal devices, chat applications and ephemeral messaging, has become a serious and increasing focus in regulatory enforcement. Over the past two years, the Securities and Exchange Commission and the Commodity and Futures Trading Commission have issued more than $2 billion in fines to financial services institutions for record keeping failures related to messaging applications. Following suit, this year, the Department of Justice and the Federal Trade Commission have shared new guidance to specifically emphasize expectations that off-channel communications be preserved and monitored as part of routine compliance programs.

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