News & Analysis as of

Electronically Stored Information Recordkeeping Requirements Securities and Exchange Commission (SEC)

BakerHostetler

Deeper Dive: Preserving Ephemeral Messaging - Capture Data Before Its Ghosts Haunt Your Compliance

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Organizations whose mantra is “We just never delete anything” (i.e., organizations simply retaining all information indefinitely) are now facing headwinds, especially when the information contains personal information. As our...more

BCLP

Regulators Impose Extraordinary Fine Amounts in Recent Off-Channel Communications Enforcement Actions

BCLP on

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

EDRM - Electronic Discovery Reference Model

Revolutionary Smartphone Data Collection Technology Helps Corporations Enforce and Comply with Regulatory Rules

The use of smartphones in the workplace is commonplace. Smartphones can offer many benefits to employees and employers, such as increased productivity, communication, collaboration, and flexibility. Hence, many companies...more

TransPerfect Legal

Chatting without Penalty: The Evolving Role of Instant Messaging in Legal Matters

TransPerfect Legal on

I. The Phenomenon of Instant Messaging- Evolution and Proliferation- From basic platforms like IRC and AIM to globally dominant apps such as WhatsApp and Telegram, instant messaging (IM) has witnessed a radical...more

BakerHostetler

The SEC Provides 4 Million Reasons to Ensure Required Records Are Maintained

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Reconciling Recordkeeping Requirements Against the Prudence of Data Remediation - As we have covered in previous alerts, the SEC and other regulators have intensified their scrutiny of the retention of electronic...more

WilmerHale

SEC Adopts Amendments to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers

WilmerHale on

On October 12, 2022, the Securities and Exchange Commission (SEC or Commission) voted to adopt amendments to the electronic recordkeeping requirements for broker-dealers and security-based swap dealers contained in Rules...more

Hanzo

Financial Data Compliance and Enterprise Information Archiving

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When it comes to making sure financial data is safe and meets compliance regulations, understanding the different regulatory bodies and how they affect your organization is a vital first step. Two of the most common...more

Hanzo

The Bottom Line on Archiving Online Communications Under SEC Rules 17a-3 and 17a-4

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If you’re in the financial services industry, you’ve got a lot on your plate. You’re researching investments, advising customers, marketing your business, and maintaining strict compliance with a veritable alphabet soup of...more

Hanzo

The Pros and Cons of Using APIs for Web Archiving

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If you’re a regular reader of Hanzo, we’ve probably already convinced you that you need to be archiving any social media profiles that your organization maintains, along with your website. Chances are you’ve heard us talk...more

Hanzo

WARC and WORM Digital Storage: Web Archiving Essentials

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WARCs? WORMs? Is this a lost installment of the Lord of the Rings? Unfortunately, no. Rather, WARC and WORM are abbreviations that you should be familiar with if you’re maintaining digital archives for regulatory compliance,...more

Hanzo

How to Archive Instagram, LinkedIn, Facebook, Twitter, and Social Media for Regulatory Compliance

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When you need information, where do you go? For the majority of people today, the answer involves a smartphone and social media. From Facebook and LinkedIn to Instagram, Twitter, and even YouTube, social media is...more

Hanzo

The Complete Guide to SEC Rule 17a-4 for Compliance Professionals

Hanzo on

Looking for a great weekend read? You could turn to a classic novel, work your way through the list of articles you were too busy to read at work, or curl up with your favorite beverage and reread Securities Exchange...more

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