
Driving Regulatory Change: The Impact of WhatsApp Compliance and Self-Reporting in Forex
The Impact of SEC’s Crackdown on Compliance Culture Introduction The Securities Exchange Commission (SEC) is trying to instigate deep cultural change around compliance following a high-profile crackdown on ‘off-channel’ communications. Many firms find themselves in a difficult scenario. It’s a kind of regulatory purgatory where they know they need to make significant changes to their…