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Technology Recordkeeping Requirements

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

DarrowEverett LLP

Danger, Does Not Compute: SEC Takes Aim at Predictive Data Analytics Per Proposed Rules

DarrowEverett LLP on

On July 26, 2023, the Securities and Exchange Commission (“SEC”), in a 3-2 vote, issued a release (the “Release”) containing proposed rules to address conflicts of interest associated with broker dealers’ and investment...more

Hanzo

Hanzo Top 20 Ediscovery & Compliance Blogs of 2022, Part 2

Hanzo on

It’s been another interesting year in the world of legal technology, and we here at Hanzo have covered a variety of topics in 2022. Last week, we covered the first 10 of our top 20 ediscovery and compliance blogs. Today we...more

Hanzo

Will Change in SEC Recordkeeping Requirement Make WORM format Obsolete?

Hanzo on

In a recent update to Rule 17a-4, the Securities Exchange Commission (SEC) stepped fully into the 21st century by dropping the requirement that electronic records be stored in a “write once, read many” or WORM format....more

Procopio, Cory, Hargreaves & Savitch LLP

Why Voluntary Self-Disclosure of National Security-Related Transgressions is Critical for Defense-Related Businesses

Regulatory compliance is critical for any business involved in the export of defense related commodities. Violations under the International Traffic in Arms Regulation (ITAR) or the Export Administration Regulations (EAR) can...more

Dorsey & Whitney LLP

Managed Accounts in 401(k) Plans: Their Value and Their Dangers

Dorsey & Whitney LLP on

A “managed account” is a discretionary portfolio management service that makes investment decisions for individual participants within the confines of a 401(k) plan and its fund options. This service is fundamentally...more

The Volkov Law Group

Real-World Applications of Blockchain to Compliance (Part II of II)

The Volkov Law Group on

The financial industry has embraced the future of blockchain technology. And for good reason. As a regulated industry that is required to provide regulators with large amounts of financial data, blockchain can make that...more

Stinson LLP

FDA Eases Medical Evaluation and Recordkeeping Requirements for Hearing Aids

Stinson LLP on

On Wednesday, the Food and Drug Administration (FDA) released a new guidance document indicating that it will not enforce the medical evaluation and recordkeeping requirements (21 CFR §801.421(a) and (d)) prior to the...more

Zelle  LLP

“It’s a Match!”

Zelle LLP on

Can techniques for finding a good date be used to find a good job or a good candidate? Some creators of recruiting technology think so. The recruiting app Switch uses a Tinder-like tool to match hiring managers and...more

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