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Monitoring employee conduct has become more complicated now that work from home seems here to stay. For wealth management firms under the watchful eye of regulators, employee involvement in unauthorized outside business activities (OBA) like the GameStop debacle could have serious consequences.
In fact, in FINRA’s 2021 Examination and Risk Monitoring priorities letter, OBA was elevated as a critical issue to which firms should be paying careful attention. It has never been more important to take proactive steps to increase visibility into employee communications and identify potential misconduct.
But it requires a thorough review of existing policies and procedures and making changes to fit the current (and future) communications landscape.
This checklist helps identify potential areas of OBA risk and close the visibility gap for unauthorized business activities and other areas of employee impropriety.
- Vendor:
- Smarsh
- Posted:
- Nov 18, 2021
- Published:
- Feb 25, 2021
- Format:
- Type:
- eBook
