It didn’t all change in March 2020. Not really. The UK high street has been in the throes of a gradual revolution for decades. From the rise of ecommerce, to the birth of mobile, social commerce, and a growing emphasis on experience, change has been underway for a while. In fact for many, the pandemic has acted as a wake-up call. Digital transformation was no longer a ‘nice to have’ but a matter of survival. Necessity sparked innovation and customers are enjoying more flexibility and conveni ...
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Innhold levert av CM Murray LLP. Alt podcastinnhold, inkludert episoder, grafikk og podcastbeskrivelser, lastes opp og leveres direkte av CM Murray LLP eller deres podcastplattformpartner. Hvis du tror at noen bruker det opphavsrettsbeskyttede verket ditt uten din tillatelse, kan du følge prosessen skissert her https://no.player.fm/legal.
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Navigating the UK and US Regulatory Terrain of Off-Channel Communications
MP3•Episoder hjem
Manage episode 406243907 series 1867393
Innhold levert av CM Murray LLP. Alt podcastinnhold, inkludert episoder, grafikk og podcastbeskrivelser, lastes opp og leveres direkte av CM Murray LLP eller deres podcastplattformpartner. Hvis du tror at noen bruker det opphavsrettsbeskyttede verket ditt uten din tillatelse, kan du følge prosessen skissert her https://no.player.fm/legal.
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. 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 Lazar, C-Suite Strategies LLC (New York, USA), Sebastian Sayer, Fox Williams (London, UK) and Natalie A. Napierala, Carlton 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?
…
continue reading
123 episoder
MP3•Episoder hjem
Manage episode 406243907 series 1867393
Innhold levert av CM Murray LLP. Alt podcastinnhold, inkludert episoder, grafikk og podcastbeskrivelser, lastes opp og leveres direkte av CM Murray LLP eller deres podcastplattformpartner. Hvis du tror at noen bruker det opphavsrettsbeskyttede verket ditt uten din tillatelse, kan du følge prosessen skissert her https://no.player.fm/legal.
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. 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 Lazar, C-Suite Strategies LLC (New York, USA), Sebastian Sayer, Fox Williams (London, UK) and Natalie A. Napierala, Carlton 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?
…
continue reading
123 episoder
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