Off-Channel Communications: How Financial Services Organizations Can Address Regulators' Latest Target
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Off-Channel Communications: How Financial Services Organizations Can Address Regulators' Latest Target
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J.S. Held
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Off-Channel Communications: How Financial Services Organizations Can Address Regulators' Latest Target
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With more employees working remotely and regulators taking a tougher approach to off channel communications (OCC), the mismanagement of OCC poses serious risks for financial services firms. While some financial institutions mitigate risk by providing business devices to employees to use for all business communications, this may not be cost effective or feasible for many firms.
This article notes that independent compliance consultants with expertise in digital forensics can help firms of any size perform comprehensive analyses of their policies and procedures on the retention of communications found on employees’ personal devices and unauthorized messaging apps.
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