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 August 5, 2024, District Judge Amit P. Mehta (U.S. District Court, District of Columbia) ruled in United States v. Google LLC that Google violated §2 of the Sherman Act by monopolizing the internet search engine market....more
SEC's and CFTC's Enforcement Actions Against Multiple Firms - In its continued pursuit of rooting out and penalizing broker-dealers and investment advisers for their failure to prevent unapproved communication methods, the...more
If you are reading this article, you are likely aware that a creditor collecting its own debts in its own name is not a "debt collector" under the federal Fair Debt Collection Practices Act ("FDCPA") or its implementing rule,...more
When it comes to ensuring that data is preserved and available for litigation, investigations, or government inquiries, it all starts with establishing and codifying clear data governance policies and procedures....more
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers....more
People in the workplace communicate more often and via more methods than ever before. Quite often, many of these methods of communication—emails, text messages, and instant messages on platforms like Slack or social media—are...more
The Federal Trade Commission and United States Department of Justice recently released new guidance on preservation of electronically stored information from ephemeral messaging tools and collaboration platforms like Slack,...more
Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more
The Federal Trade Commission's Bureau of Competition and the U.S. Department of Justice Antitrust Division earlier this year released a joint statement reiterating document preservation obligations for companies and...more
A motion for spoliation sanctions under Fed.R.Civ.P. 37(e) was denied in Boshea v. Compass Marketing, Inc., 2024 WL 811468 (D. Md. Feb. 27, 2024). The motion was argued and decided during trial. The suit by a former...more
On February 9, the Securities and Exchange Commission (SEC) announced settlements with 16 firms relating to record-keeping violations stemming from off-channel communications totaling $81 million. The 16 firms were five...more
December 2, 2023: SEC Director of Enforcement on Penalties for Data Preservation Failures - In October 2023, the SEC’s Director of Enforcement Gurbir Grewal addressed the New York City Association. See the transcript posted...more
Kenya has taken a significant step in addressing the balance between work and personal life by introducing a “right to disconnect” law. The Employment (Amendment) Bill 2022, which is pending before the Kenyan Senate, would...more
SEC Adopts Final Rules on Cybersecurity Disclosures - The SEC has adopted rules requiring companies to provide disclosure within four business days of determining that a material cybersecurity incident has occurred, and...more
In recent years, regulated industries, particularly broker dealer firms like Wells Fargo and Morgan Stanley, have faced increased scrutiny from regulatory bodies due to their lack of compliance in policing messaging apps. The...more
The corporate world has once again been forced to adapt as communication trends change. When ephemeral messaging first gained popularity, it was merely a fun way to send disappearing pictures or messages to friends over apps...more
Texting in the course and scope of business communications is almost ubiquitous. If your company issued a phone to an employee, presumably your company has the ability to control and preserve text messages sent on it. ...more
In the wake of the collapse of two major U.S. banks, America’s public attention has refocused once again on the oversight and integrity of the financial markets. Amidst this backdrop, on March 10, 2023, Edward D. Jones &...more
In the not-so-distant past, there were fewer channels utilized for business communications, and business norms often limited communications to traditional channels even if other methods of communication were available. This...more
As the rise in remote work has led to an increased reliance on mobile devices to stay connected – with cellphones at our fingertips virtually 24/7 – the use of third-party messaging applications to communicate about work has...more
Recognizing that, nowadays, most lawyers communicate electronically with their clients, and with lawyers representing other parties, the American Bar Association has provided advice on an important consideration that arises...more
On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using personal messaging...more
Broker-dealers are required to maintain records of any communications received relating to the firm’s business. The SEC recently charged 16 broker-dealers with recordkeeping violations for off-channel communications that were...more
According to a recent press release from the Securities Exchange Commission (SEC), sixteen Wall Street firms were fined for widespread and longstanding failures by the organizations and their employees to maintain and...more
On September 27, 2022, 15 broker-dealers and one investment adviser agreed to pay more than $1.8 billion in total civil penalties to the US Securities and Exchange Commission (SEC), and, for those same companies or affiliates...more