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Financial Regulators Focus on Preservation of Ephemeral Messaging

By Andrew Rosell, Toby M. Galloway & Winstead 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

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