Legal Alert | Wiretap Laws in the United States
The ‘Long Arm’ of CIPA and Its Newfound Pen-Trap Claims
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
Compliant Business Communications Through Messaging Apps
Digital Issues for Individuals Working at Home (Digital Planning Podcast)
Employment Law Now IV-54- A Guest Discussion on 3 Significant Government Decisions
Discussion of PA’s Revised Uniform Fiduciary Access to Digital Assets Act
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
[WEBINAR] The Public Records Act - Taming the Email Tiger
Every week, the Array team reviews the latest news and analysis about the evolving field of eDiscovery to bring you the topics and trends you need to know. This week’s post covers the week of July 8-14. Here’s what’s...more
SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more
The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have, in two separate recent settled enforcement actions involving off-channel communications (“OCC”), imposed fine...more
Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more
I always welcome any chance to use references to The Mandalorian series on Disney (or Ashoka for that matter) in the compliance arena. My take on the issue of electronic communications and ephemeral messaging is rooted in...more
In light of the DOJ’s most recent guidance on the use of personal devices and third-party messaging applications by corporate personnel, this White Paper addresses issues and challenges that companies are facing in this area...more
Just to play devil’s advocate (or perhaps to push my agenda), I have conflicting views on corporate use of ephemeral messaging applications. On the one hand, I understand the importance of managing electronics communications...more
Honestly, I have been avoiding this topic since it presents a real morass of risks and potential traps for the unwary company and Chief Compliance and Chief Legal Officers....more
Email isn’t enough anymore, if it ever really was. Employees are communicating with each other, clients and prospects via texts, WhatsApp, Teams, Slack and many, many more tools. Much attention has been paid to the US...more
Are you ready to learn how to implement electronic communications capture and supervision in your firm for better compliance and prevention of regulatory violations? Is messaging compliance giving your compliance function...more
As U.S. regulators and enforcement authorities alike become increasingly focused on corporate oversight practices of their employees' use of third-party messaging applications, including ephemeral messaging, companies should...more
On Friday, March 3, 2023, the Department of Justice (DOJ) Criminal Division released updated guidance regarding the “Evaluation of Corporate Compliance Programs.” Now in its fourth iteration, this guidance replaces the June...more
On September 27, 2022, the Securities and Exchange Commission (“Commission”) entered into a series of settled orders (“Orders”) against 15 broker-dealers and one affiliated investment adviser for widespread failures by the...more
Communication is different in the modern workplace. Gone are the days of phone calls and email being the primary channels of interaction. Many organizations are frequently utilizing chat applications like Microsoft Teams for...more
An investment management company was recently hit with $200 million in fines for failing to track employees’ use of personal messaging apps, which resulted in the loss of communications that were subject to regulatory...more
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert on December 14, 2018 concerning the use of electronic messaging by registered...more