Security

Financial Regulators Focus on Preservation of Ephemeral Messaging

By Julia Hood, Andrew Rosell & Toby M. Galloway on October 13, 2022

Posted in Broker Dealer, General Counsel & D&O, Investment Adviser

Recent Enforcement Action

The requirement that financial firms preserve books and records is nothing new. But how do such firms keep track of employees’ communications on applications like Signal or WhatsApp? …
Continue Reading Financial Regulators Focus on Preservation of Ephemeral Messaging

The Securities Litigation and Regulatory Enforcement resource website provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators. This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsel (GCs) and directors and officers (D&Os) throughout Texas and across the nation.

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Security

Financial Regulators Focus on Preservation of Ephemeral Messaging

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