Three lessons for compliance managers on chat app snafus
By John CrowleyAugust 14, 2023
Loose talk on WhatsApp can cost your employer millions. A Securities and Exchange Commission investigation into “off-channel” communications has wreaked $289m worth of fines on Wall Street firms.
The 11 banks, which range from giants Wells Fargo and BNP Paribas to boutique firm Houlihan Lokey, admitted that they ...
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