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
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
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
SEC Adopts Final Rules on Cybersecurity Disclosures - The SEC has adopted rules requiring companies to provide disclosure within four business days of determining that a material cybersecurity incident has occurred, 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
To help you keep abreast of relevant activities, below find a breakdown of some of the biggest events at the federal and state levels to impact the Consumer Finance Services industry this past week...more
Illumination Zone: Robert Bird, Senior Managing Director, Terry Herlihy, Managing Director, Data & Technology and Nicole Donaldson, Managing Director for EDRM Trusted Partner, Ankura sit down with Kaylee and Mary to talk...more
In the wake of the collapse of two major U.S. banks, America’s public attention has refocused once again on the oversight and integrity of the financial markets. Amidst this backdrop, on March 10, 2023, Edward D. Jones &...more
As the rise in remote work has led to an increased reliance on mobile devices to stay connected – with cellphones at our fingertips virtually 24/7 – the use of third-party messaging applications to communicate about work has...more
On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using personal messaging...more
The SEC has been busy under the Biden administration. From rulemaking to enforcement, the agency is pushing boundaries and expanding its reach into new and active areas of the market....more
SEC Requests Comment on Incident Reporting NPRM for Certain Filings Affected by Technical Glitch: On October 18, the Securities and Exchange Commission (SEC) published a Notice announcing it has re-opened for 14 days the...more
Broker-dealers are required to maintain records of any communications received relating to the firm’s business. The SEC recently charged 16 broker-dealers with recordkeeping violations for off-channel communications that were...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
In the last few weeks, several major U.S. financial institutions have disclosed to investors that the United States Securities and Exchange Commission (“SEC”) and/or the Commodities Future Trading Commission (“CFTC”) are...more
On December 17, 2021, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) announced that each had entered into an agreement with J.P. Morgan Securities (the “Company”) to resolve...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
The Securities and Exchange Commission (“SEC”) entered an order (“Order”) yesterday against a broker-dealer for failing to retain text messages relating to the firm’s business. The firm was fined $100,000. The firm’s...more