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Mobile Apps › Compliance › Securities and Exchange Commission (SEC)

Mayer Brown Free Writings + Perspectives

SEC Investor Advisory Committee Panel Discusses Digital Engagement Practices

Mayer Brown Free Writings + Perspectives on

On June 22, 2023, the Investor Advisory Committee (“IAC”) of the US Securities and Exchange Commission (“SEC” or “Commission”) held a panel discussion regarding current challenges and potential improvements to the use of...more

Katten Muchin Rosenman LLP

What's Up With WhatsApp? Regulators Recently Fine Firms $1.8 Billion in Aggregate for "Off-Channel" Communications

Katten Muchin Rosenman LLP on

Recent alleged recordkeeping failures resulted in aggregate fines in excess of $1.8 billion levied against 11 Wall Street financial institutions and many of their affiliated entities by the Securities and Exchange Commission...more

Hanzo

Compliance Update: Unauthorized Messaging Apps Lead to 1.8B in Fines

Hanzo on

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

Thomas Fox - Compliance Evangelist

Social Media Week Part I – Using Social Media In Your Compliance Program

Thomas Fox - Compliance Evangelist on

Welcome to Part I of Social Media Week. I recently did a webinar, hosted by The Network, on the use of social media in your Foreign Corrupt Practices Act (FCPA) compliance program. The response was as great as almost any...more

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