Personal Devices and Messaging: Evolving Compliance Concerns and Best Practices
On August 14, 2024 the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against 26 SEC-registered investment advisers, broker-dealers and dually-registered broker-dealers and investment advisers...more
One thing you can count on — change. Not that there is anything wrong with that, but not to be too dramatic, we are at the precipice of some significant technology trends that will have a profound impact on corporate...more
On March 3, 2023, Assistant Attorney General Kenneth A. Polite announced significant revisions to the Department of Justice (“DOJ”) Criminal Division’s Evaluation of Corporate Compliance Programs (“ECCP”) specifically focused...more