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Record Preservation Data Security

U.S. Legal Support

7 Ways a Records Retrieval Partner Can Increase Efficiencies

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The success of any legal team relies on precise, timely, and compliant access to records. Yet, the demands of managing this process internally can detract from focusing on critical casework. A dedicated records retrieval...more

Carlton Fields

Cybersecurity Still Top FINRA Operational Risk

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On January 4, the Financial Industry Regulatory Authority (FINRA) published its annual Regulatory and Examination Priorities Letter providing firms with information about areas FINRA plans to review in 2017 as well as...more

Carlton Fields

Continuing Data Security Lessons from the SEC

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In September, we reported that the Securities and Exchange Commission (SEC) settled charges against a registered investment adviser for a violation of Rule 30(a) of Regulation S-P (17 C.F.R. 248.30(a))(“Safeguards Rule”) for...more

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