Electronic communications are critical in meeting customers’ needs and facilitating securities transactions. However, employees can violate electronic recordkeeping requirements without the appropriate controls and technology.

Electronic communications are critical in meeting customers’ needs and facilitating securities transactions. However, employees can violate electronic recordkeeping requirements without the appropriate controls and technology.

The fines and penalties associated with recordkeeping violations can provide an unnecessary source of embarrassment, which can be particularly damaging when trust is such an important factor in financial markets. Enforcement activity can also compel financial institutions to hire additional compliance staff to mitigate the risk. And while harder to observe and quantify, attracting regulatory oversight can impact a financial institution’s reputation and stock price.

Simply put, non-compliance can be costly and distract an institution from its primary mission. Join us for insights on balancing compliance and customer satisfaction.

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