The past 12 months have seen unprecedented regulatory focus on digital communications. The SEC and the Commodities Futures Trading Commission (CFTC) have been quite busy examining the digital communications practices of financial services firms of all shapes and sizes, levying unprecedented enforcement actions and settlements that dwarf anything that has come before.

Materials included in this guide were provided from interviews and discussions with expert contributors, as well as gathered from previously broadcast Smarsh and industry webinars focused on off-channel communications.

In our pursuit to help firms develop a comprehensive communications compliance strategy, we engaged our network to create this e-book to:
• Address commonly asked questions
• Identify areas of consensus
• Surface ‘better’ practices as firms mature toward best practice