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Bring Your Own Device (BYOD) Commodities Futures Trading Commission

BakerHostetler

SEC and CFTC Show No Signs of Slowing Down Enforcement Actions for Financial Firms’ Use of Off-Channel Communications

BakerHostetler on

The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more

Morrison & Foerster LLP

Preserving Data from Personal Devices and Third-Party Messaging Platforms – What Should Companies Do?

Morrison & Foerster LLP on

Deputy Attorney General (DAG) Lisa Monaco’s September 15, 2022, memorandum on revisions to the Department of Justice’s (DOJ) Corporate Enforcement Policies (the Monaco Memo) reflects that preservation of business...more

Alston & Bird

SEC and CFTC Crackdown on Use of Personal Messaging Platforms Raises Compliance Concerns – and Opportunities

Alston & Bird on

Using personal devices and messaging platforms may be convenient (and ubiquitous), but it may run afoul of federal records retention rules. Our Investment Management, Trading & Markets and White Collar, Government & Internal...more

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