Latest opinions that David Clee has shared on Finextra

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David Clee

Co-Founder & CEO

MirrorWeb

Member since

26 Mar

Location

Austin, Texas

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David's opinions

Compliance Relics: The Case Against PDFs and Screenshots

Screenshots and PDFs have long served as the fallback tools of digital recordkeeping. They're easy to create, straightforward to file, and for a long time, they seemed “good enough.” But in today’s regulatory environment, where agencies like the SEC and FINRA are demanding complete, contextual, and verifiable records, “good enough” is quickly be

05 June 2025 /regulation /wealth Fintech

Financial Deregulation - A False Sense of Security

In December 2021, JP Morgan agreed to pay $200 million in fines for failing to monitor employee communications on unauthorized channels, primarily WhatsApp, SMS, and iMessage. Initially seen as a high-profile, isolated incident meant to set an example, it turned out to be the opening salvo in a sweeping, industry-wide enforcement campaign. By 2

05 June 2025 /regulation /wealth Fintech

The Single Pane of Glass: Unifying Communications Supervision Across Channels

If you and your compliance team are jumping between separate systems just to track Slack messages, email threads, mobile chats and collaboration tools, you're not alone. The digital-first workplace has made communication faster, but supervision more fragmented, and riskier than ever. Regulators like the SEC, FINRA, and the CFTC have made it clea

28 April 2025 /regulation /wealth Fintech

The Cost of Non-Compliance - How Proper Archiving Prevents Regulatory Fines

Compliance doesn’t need to be flashy to be critical. In today’s regulatory climate, communications archiving has moved from operational afterthought to strategic necessity. Regulators like the SEC and FINRA aren’t tolerating gaps, and excuses won’t hold up. If your archiving strategy is outdated or inconsistent, you're not just exposed...you’re in

01 April 2025 /regulation /wealth RegTech