Ad Law Tool Kit Show – Episode 12 – Telemarketing and Texting
Recent Trends in TCPA Litigation - The Consumer Finance Podcast
Credit Eco to Go Podcast - The Results are In: Consumers Really Do Respond Better to Digital Communications
CF on Cyber: An Update on the Changes to the Florida Telemarketing Act
Sitting with the C-Suite: Best Practices in Mobile Device Data Preservation
PODCAST: Williams Mullen's Trending Now: An IP Podcast - Telecommunication Consumer Protection Act (TCPA): Update and Practical Guidance
Discussing the Telephone Consumer Protection Act (TCPA) and the 2020 Election
Video | Tips for Managing the Preservation of Mobile Device Data
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
Health Tech Podcast - Episode 3: HIPAA, HITECH and TCPA
SEC's and CFTC's Enforcement Actions Against Multiple Firms - In its continued pursuit of rooting out and penalizing broker-dealers and investment advisers for their failure to prevent unapproved communication methods, the...more
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers....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
On February 9, the Securities and Exchange Commission (SEC) announced settlements with 16 firms relating to record-keeping violations stemming from off-channel communications totaling $81 million. The 16 firms were five...more
December 2, 2023: SEC Director of Enforcement on Penalties for Data Preservation Failures - In October 2023, the SEC’s Director of Enforcement Gurbir Grewal addressed the New York City Association. See the transcript posted...more
Federal regulators have cracked down on the use of texts messages and messaging platforms for business communications, using their broad authority to root out record retention violations, resulting in significant fines and...more
In recent years, regulated industries, particularly broker dealer firms like Wells Fargo and Morgan Stanley, have faced increased scrutiny from regulatory bodies due to their lack of compliance in policing messaging apps. The...more
According to a recent press release from the Securities Exchange Commission (SEC), sixteen Wall Street firms were fined for widespread and longstanding failures by the organizations and their employees to maintain and...more
On September 27, 2022, 15 broker-dealers and one investment adviser agreed to pay more than $1.8 billion in total civil penalties to the US Securities and Exchange Commission (SEC), and, for those same companies or affiliates...more
The SEC requires broker-dealers to maintain originals of all communications received and copies of all communications sent by the broker-dealer relating to its business for three years. The SEC has explained that Rule 17a-4...more
Using personal devices and messaging platforms may be convenient (and ubiquitous), but it may run afoul of federal records retention rules. Our Investment Management, Trading & Markets and White Collar, Government & Internal...more
On September 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) entered an Order Instituting Administrative and Cease and Desist Proceedings (“Order”) against a broker-dealer, JonesTrading Institutional Services,...more
Editor's Note - Potential CFPB Reform in the Wake of the Election. The November 16 edition of the Roundup indicated that the Financial CHOICE Act (Act) may be a blueprint for legal changes affecting the financial...more
In This Issue: - IN THE SPOTLIGHT ..Standard CGL Policy Form Adds Data Breach Coverage Exclusion - LIFE INSURANCE ..Class Claims Against Lincoln National Barred in Section 419 Action – Again ...more