Text messaging is convenient. It is an informal and instant mode of communication now available through numerous apps, which allow an individual to use their synced phone, tablet, and computer to quickly fire off messages. ...more
10/12/2022
/ Broker-Dealer ,
CFTC ,
Compliance ,
Confidential Communications ,
Department of Justice (DOJ) ,
Electronic Communications ,
Enforcement ,
Financial Institutions ,
Foreign Corrupt Practices Act (FCPA) ,
Penalties ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Texting
The Department of Justice Civil Division this week issued a long-awaited policy regarding the circumstances under which companies and individuals can receive cooperation credit in False Claims Act investigations. The new...more
Earlier this year, the Department of Justice, Civil Division, issued two policy memos that will directly affect its civil enforcement priorities, particularly with regard to healthcare and life sciences companies. The first...more
With cyber security threats on the rise, broker dealers must prioritize protection of electronic investor information. What cyber security threats exist for broker dealers? In its 2015 Report on Cyber Security Practices,...more