New report offers insight into how financial services compliance professionals keep pace with new communications channels and compliance trends.
For the third straight year, respondents cited new and changing regulations (67 percent), new communications channels (64 percent) and increased scrutiny/enforcement (63 percent) as their top three concerns related to electronic message compliance, yet the overall rate of concern is down. While not cited as frequently, concerns related to the procedural elements of designing and maintaining electronic communications compliance programs, such as managing multiple archiving systems, inability to produce data upon request and inability to provide evidence of supervision, saw double-digit increases this year.