Records and Information Management and Retention


In This Presentation: “Why Should I care about Records and Information Management?”; Forbes’ “Wall Street Fine Tracker” (; Morgan Stanley offers $15M fine for e-mail violations: Firm was under SEC investigation for failing to save e-mails”; “NASD Fines Four Fidelity Affiliated Broker-Dealers $3.75 Million for Registration, Supervision and Email Retention Violations” Feb. 5, 2007 NASD press release; Qualcomm v. Broadcom, 2008 U.S. Dist. LEXIS 911 (Jan. 7, 2008).....

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Published In: Administrative Agency Updates, Civil Procedure Updates, General Business Updates, Labor & Employment Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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