Healthcare Document Retention
Record Retention and Information Governance
SEC Record Retention Enforcement Actions - The Consumer Finance Podcast
California Employment News: Best Practices for Maintaining Employee Records
Protecting Patient Medical Records
Regulation Best Interest Videocast Series: Regulation BI Recordkeeping Requirements
[WEBINAR] Public Records Act - Taming the Email Tiger
Please join Troutman Pepper Partners Chris Willis and Kim Phan for an in-depth discussion about the Securities and Exchange Commission's (SEC's) recent record retention enforcement actions. Chris and Kim explore the uptick in...more
On April 20, the Kansas governor signed SB 44 to enact the Kansas financial institutions information security act. The Act establishes information security standards for covered entities, and applies to credit service...more
INTRODUCTION - On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the Division’s priorities highlight areas...more
The Commodity Futures Trading Commission (CFTC) issued orders on September 27, 2022, filing and settling charges against various affiliates of financial institutions for failing to maintain, preserve, or produce records that...more
Competent management of business information is a challenge for organizations across industries, but banking and financial services organizations face heightened information governance challenges that require dedicated...more
On August 25, 2015, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require investment advisers that are registered or required to be registered (RIAs)...more
The Fourth European Union Anti-Money Laundering Directive (Fourth AML Directive), approved by the European Parliament on May 20, 2015, went into effect on June 25, 2015, repealing the 2005 Third AML Directive. Given the...more