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Electronically Stored Information Financial Services Industry

Array

This Week in eDiscovery: The Duty to Preserve Ephemeral App Data, Employee Compliance with Electronic Communication Rules

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Every week, the Array team reviews the latest news and analysis about the evolving field of eDiscovery to bring you the topics and trends you need to know. This week’s post covers the week of July 8-14. Here’s what’s...more

EDRM - Electronic Discovery Reference Model

Illumination Zone: Episode 126 | Ankura's Robert Bird, Terry Herlihy and Nicole Donaldson talk about off channel communications...

Illumination Zone: Robert Bird, Senior Managing Director, Terry Herlihy, Managing Director, Data & Technology and Nicole Donaldson, Managing Director for EDRM Trusted Partner, Ankura sit down with Kaylee and Mary to talk...more

EDRM - Electronic Discovery Reference Model

The High Cost of Risky Business: Lessons in Vigilance from Enron, Wirecard and Silicon Valley Bank

[Editor’s Note: The High Cost of Risky Business: Lessons in Vigilance from Enron, Wirecard, and Silicon Valley Bank was first published March 15, 2023 on ComplexDiscovery and is republished with permission.] Vigilance is...more

Nelson Mullins Riley & Scarborough LLP

[Webinar] FinTech University: FinTech and E-Discovery - January 10th, 2:00 pm - 3:00 pm EDT

Join us for the next edition of FinTech University as we focus on FinTech and E-Discovery. This webinar will discuss the basics of e-discovery with a focus on unique issues that many FinTech companies encounter. Experienced...more

Reveal

The Most Famous eDiscovery Case Ever is a Financial Services Case

Reveal on

There’s a case that is ubiquitous within eDiscovery circles. Its presence is everywhere when you look at eDiscovery solutions. Many people think of it as an energy industry case, but it’s actually a financial services case –...more

Brownstein Hyatt Farber Schreck

Debt Collection Companies Beware: A Slew of Lawsuits Are Coming

Yesterday, the 11th Circuit Court of Appeals issued an opinion in Hunstein v. Preferred Collection and Management Services, Inc., -- F.3d --, 2021 WL 1556069 (Apr. 21, 2021), which almost immediately set off alarms in the...more

Hanzo

The Bottom Line on Archiving Online Communications Under SEC Rules 17a-3 and 17a-4

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If you’re in the financial services industry, you’ve got a lot on your plate. You’re researching investments, advising customers, marketing your business, and maintaining strict compliance with a veritable alphabet soup of...more

Hanzo

The Pros and Cons of Using APIs for Web Archiving

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If you’re a regular reader of Hanzo, we’ve probably already convinced you that you need to be archiving any social media profiles that your organization maintains, along with your website. Chances are you’ve heard us talk...more

Hanzo

WARC and WORM Digital Storage: Web Archiving Essentials

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WARCs? WORMs? Is this a lost installment of the Lord of the Rings? Unfortunately, no. Rather, WARC and WORM are abbreviations that you should be familiar with if you’re maintaining digital archives for regulatory compliance,...more

Hanzo

The Complete Guide to SEC Rule 17a-4 for Compliance Professionals

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Looking for a great weekend read? You could turn to a classic novel, work your way through the list of articles you were too busy to read at work, or curl up with your favorite beverage and reread Securities Exchange...more

Carlton Fields

Out Of Proportion: Court Denies Discovery Requests In Putative TCPA Class Action Due Burden On Defendant

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This putative Telephone Consumer Protection Act (TCPA) class action arose from alleged marketing calls by Quicken Loans (Quicken) to potential mortgage customers. After the magistrate judge granted the plaintiff’s motion to...more

Carlton Fields

FINRA Fines Firms for WORM Problems

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Broker-dealers, including principal underwriters of insurance products, may retain required records in electronic format, subject to satisfaction of longstanding conditions. One such condition is that the records must be...more

WilmerHale

The European, Middle Eastern and African Investigations Review 2016: United Kingdom: handling internal investigations

WilmerHale on

With so much potentially at stake, the initial steps and strategic decisions taken in any company investigation are critical to setting the tone for a focused, credible and effective inquiry. This is paramount not only for...more

Bradley Arant Boult Cummings LLP

Amendments to FRCP 26(b) Put Significant Emphasis on Proportionality

Revisions to several key provisions of the Federal Rules of Civil Procedure took effect on December 1, 2015, and will have a significant impact on discovery procedure and practice in federal court. The aim of these revisions...more

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