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Electronic Communications Policies and Procedures Workplace Communication

K&L Gates LLP

The SEC Fines Stand-Alone Adviser for Off-Channel Communications

K&L Gates LLP on

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

Jones Day

Considerations for Addressing DOJ’s Corporate Compliance Guidance on Mobile Devices and Messaging Platforms

Jones Day on

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

Thomas Fox - Compliance Evangelist

Messaging Compliance in a Shifting Regulatory Landscape: Is Regulation Stifling Business Innovation?

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

Epiq

Remaining Compliant Amidst Challenges When Using Chat Applications in the Workplace

Epiq on

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

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