News & Analysis as of

New Regulations Compliance Electronic Communications

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for May 2024

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 Volkov Law Group

DOJ Outlines Compliance Expectations Relating to Preservation of Data from Messaging Applications (Part III of III)

The Volkov Law Group on

The Justice Department finally released its new policy to improve corporate preservation of data generated by executives and employees.  In this new technology era, companies have had significant gaps in collecting and...more

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