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Navigating the UK and US Regulatory Terrain of Off-Channel Communications – IFSEA Podcast Recording

We are delighted to share with you a podcast focusing on ‘Navigating the UK and US Regulatory Terrain of Off-Channel Communications’. Listen to the podcast and see below for further details. Watch a video preview containing edited highlights of the full podcast here. The podcast precedes the 5th IFSEA International Conference on Risk, Reward and Reputation Management Issues for Senior Executives & Founders, which takes place in London on 25 June 2024.

Historically, it has been easier for employers to monitor record keeping and the contents of off-channel communications. This has become increasingly important as technology evolves and new platforms become available. In this interesting discussion, Wendi LazarC-Suite Strategies LLC (New York, USA), Sebastian SayerFox Williams (London, UK) and Natalie A. NapieralaCarlton Fields (New York, USA), speak with Stuart Smith of CM Murray LLP about the actions taken by both US and UK regulators and the practical steps that firms can take to avoid fines. In particular, the panel discuss:

  • An overview of the rules and sanctions applied by US regulators (SEC, CFTC and FINRA) and UK regulators (FCA and FSA) relating to violations for engaging in off-channel communications and the purpose of record keeping regulations. 
  • What response from these regulators are we likely to see going forward for breaches of record keeping regulations? 
  • Recommended strategies, procedures, training, and internal policies that can be put in place by employers to comply with the regulations. 
  • What is the best practice for employees and supervisors to comply with regulations and limit their own personal risk? 
Find out more about the IFSEA Conference 2024 here.