Everyone Come to Play: Exploring FOCI Mitigation Instruments
Legal Alert | Wiretap Laws in the United States
The ‘Long Arm’ of CIPA and Its Newfound Pen-Trap Claims
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
Compliant Business Communications Through Messaging Apps
Digital Issues for Individuals Working at Home (Digital Planning Podcast)
Employment Law Now IV-54- A Guest Discussion on 3 Significant Government Decisions
Discussion of PA’s Revised Uniform Fiduciary Access to Digital Assets Act
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
[WEBINAR] The Public Records Act - Taming the Email Tiger
On January 13, 2025, the U.S. Securities and Exchange Commission announced settled enforcement actions with five registered investment advisers for failing to maintain and preserve internal electronic communications. These...more
The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have, in two separate recent settled enforcement actions involving off-channel communications (“OCC”), imposed fine...more
Ages ago, hieroglyphics were painstakingly etched into stone. They communicated various types of messages, from fables to business transactions, and lasted thousands of years. Today, we still communicate the same type of...more
An investment management company was recently hit with $200 million in fines for failing to track employees’ use of personal messaging apps, which resulted in the loss of communications that were subject to regulatory...more
On December 17, 2021, a financial institution agreed to pay $200 million in fines to the Securities and Exchange Commission and Commodities Futures Trading Commission for allowing employees to discuss business on their...more