Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange...more
4/2/2024
/ Books & Records ,
Data Management ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
General Data Protection Regulation (GDPR) ,
Internet ,
Investment Firms ,
Online Platforms ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Social Media ,
Websites
The Department of Justice (DOJ) has updated their Evaluation of Corporate Compliance Programs policy with special attention paid to messaging platforms when detecting and investigating potential misconduct and law violations....more
3/13/2024
/ CFTC ,
Compliance Management Systems ,
Data Management ,
Data Preservation ,
Department of Justice (DOJ) ,
Employees ,
Enforcement Actions ,
Information Sharing ,
Instant Messaging Apps ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
WhatsApp