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Mobile Devices Electronic Communications

BCLP

SEC Enforcement Sweep Regarding Off-Channel Communications Nets 26 More Settlements and Over $390 Million in Civil Penalties

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On August 14, 2024 the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against 26 SEC-registered investment advisers, broker-dealers and dually-registered broker-dealers and investment advisers...more

White & Case LLP

SEC Continues Focus on Off-Channel Communications

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On August 14, the U.S. Securities and Exchange Commission (“SEC”) announced yet another wave of enforcement actions related to widespread “off-channel communications,” charging an additional 26 firms with failing to maintain...more

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

BakerHostetler

Viral Layoffs: Important Considerations for Employment Actions in the Digital Age

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Social media usage remains ubiquitous in 2024, and a recent trend sees the increased use of social media by employees to document their experiences with layoffs and disciplinary actions in the workplace. ...more

CloudNine

Efficient Text and Chat Data Discovery Starts with Information Governance (IG)

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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

Sheppard Mullin Richter & Hampton LLP

What Private Equity Firms Need to Know About the Ongoing SEC Investigation of “Off-Channel” Communications

Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. On the theory that employees’ use of...more

EDRM - Electronic Discovery Reference Model

Revolutionary Smartphone Data Collection Technology Helps Corporations Enforce and Comply with Regulatory Rules

The use of smartphones in the workplace is commonplace. Smartphones can offer many benefits to employees and employers, such as increased productivity, communication, collaboration, and flexibility. Hence, many companies...more

BCLP

SEC Enforcement Sweep Regarding Off-Channel Communications

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On February 9, 2024 the U.S. Securities and Exchange Commission (the “SEC”) announced charges against 16 registered investment advisers and broker-dealers for pervasive recordkeeping failures related to off-channel...more

Venable LLP

New York’s New Privacy Protections for Employees’ Social Media Accounts - What Employers Should Do Now to Prepare

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“Follow me on Instagram, will you?” That may seem like a harmless question to a colleague, but starting soon, New York will ban most employer inquiries regarding an employee’s personal social media account....more

Nelson Mullins Riley & Scarborough LLP

[Webinar] Creating a Data Privacy & Security Playbook for 2024: An Overview of Compliance and Regulations, AI, and Data Breach...

Nelson Mullins invites you to the two-day webinar, Creating a Data Privacy & Security Playbook for 2024: An Overview of Compliance and Regulations, AI, and Data Breach Concerns, on Feb. 7 and 8 in honor of Privacy Day...more

The Volkov Law Group

Practical Steps to Mitigate Electronics Communications Risks: “This is the Way” (Part III of III)

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I always welcome any chance to use references to The Mandalorian series on Disney (or Ashoka for that matter) in the compliance arena.  My take on the issue of electronic communications and ephemeral messaging is rooted in...more

Jones Day

Considerations for Addressing DOJ’s Corporate Compliance Guidance on Mobile Devices and Messaging Platforms

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In light of the DOJ’s most recent guidance on the use of personal devices and third-party messaging applications by corporate personnel, this White Paper addresses issues and challenges that companies are facing in this area...more

Poyner Spruill LLP

“It’s Not My Phone” May Be No Better an Excuse Than “My Dog Ate My Homework”

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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

Holland & Knight LLP

Do Not Delete: SEC and DOJ Send Serious Messages on Preserving Ephemeral Communications

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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

Sheppard Mullin Richter & Hampton LLP

SEC Off-Channel Communications Sweep

Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the...more

BakerHostetler

SEC and CFTC Continue Crackdown on Financial Firms Over Off-Channel Communications

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The SEC and CFTC settlements with HSBC and Scotia Capital come after years of federal regulators’ and prosecutors’ steadily increasing scrutiny of off-channel communications. Anchoring these settlements are long-standing...more

Vinson & Elkins LLP

Don’t Text and Trade: SEC Continues Investigation into Wall Street Communications

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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

Jenner & Block

Client Alert: Key Insights from Updated DOJ Guidance Regarding the “Evaluation of Corporate Compliance Programs” and New...

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On Friday, March 3, 2023, the Department of Justice (DOJ) Criminal Division released updated guidance regarding the “Evaluation of Corporate Compliance Programs.” Now in its fourth iteration, this guidance replaces the June...more

J.S. Held

Off-Channel Communications: How Financial Services Organizations Can Address Regulators’ Latest Target

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As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry for non-compliance with...more

Perkins Coie

New DOJ Guidance on Personal Devices and Third-Party Messaging Applications Applies to Any Company DOJ May Scrutinize

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The U.S. Department of Justice (DOJ) recently released new guidance announcing several policy changes to further strengthen and clarify its approach to prosecuting corporate crime. The guidance, released through a memorandum...more

Weintraub Tobin

District Court Finds Mobile Payment Patents Not Invalid Under 35 U.S.C. § 101

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In Mobile Equity Corp. v. Walmart Inc., 2-21-cv-00126 (EDTX Sep. 8, 2022) (Roy S. Payne), the Court found that the asserted claims were not directed towards an abstract idea and did not encompass unpatentable subject matter...more

Jackson Lewis P.C.

Employee Monitoring: New York Establishes New Requirements for Employers

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Earlier this month, New York Governor Kathy Hochul signed into a law a bill that will require New York private sector employers to provide written notice to employees before engaging in electronic monitoring of their...more

Latham & Watkins LLP

Recording Requirements for Mobile Devices, Electronic Communications, and Videoconferencing

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MiFID II introduced obligations to record telephone conversations and any electronic communications that are intended to lead to a transaction. Records must be kept for at least five years. The COVID-19 pandemic, which...more

King & Spalding

Communicating with Employees through their Personal Devices

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The COVID-19 pandemic has pushed employees out of the workplace in a way never experienced before. The effect often has been indiscriminate and impacted employees who traditionally do not have access to work email while...more

Association of Certified E-Discovery...

[Webinar] SDPA and ACEDS OC eDiscovery Summer Refresher Session Five: Collection through Analysis - July 25th, 9:00 am - 10:00 am...

Mobile devices are everyone’s addiction, and each device could contain ESI essential to rounding out any discovery request. From text messages to device locations, from images to video and more, our mobile devices tell the...more

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