Regulatory Perspectives

At a Glance Both the SEC and FINRA have announced their examination priorities for 2023 giving investment advisers and broker dealers important insight into the areas to include in…

Given the new ways of working and communicating there are increasing amounts of personally identifiable information and personal health information data shared across communication platforms…

The last quarter of 2022 saw FINRA continue its focus on communications compliance. Four brokers and a compliance officer faced disciplinary action for a range…

UK regulator fined a trio of brokers almost £5m for failing to have appropriate communications compliance processes in place to fulfill market abuse obligations.

U.S. SEC replaced its antiquated “non-erasable, non-rewritable” electronic recordkeeping requirement in place since the late-90s with a technology-neutral approach centered around audit trail data, which…

The report is based on the views and experiences of more than 500 compliance and security professionals from the heavily-regulated financial services, healthcare and government…

Among other things the clear need for effective policies and procedures governing the use of personal devices and third-party messaging platforms to ensure that business-related…

New electronic communications recording, disclosure, and oversight rules from the Centers for Medicare & Medicaid Services (“CMS”), effective 1 October 2022, highlight the heightened scrutiny…