eComms compliance for financial institutions: Responses to regulatory investigations

A regulator has just sent you an inquiry or a subpoena regarding unauthorized use by one of your employees of text messaging or a third-party electronic communications application.  What steps should you take to ensure you can respond effectively to the inquiry? This episode of our eComms series with Smarsh sees Anthony Diana, Kiran Somashekara, and John Lukanski accompany Tiffany Magri from Smarsh to answer this question and more. They discuss what the regulators’ expectations are for the inquiry or subpoena and the necessary actions all firms should be taking to minimize their risk.