Last month, the U.S. Department of Justice (DOJ) announced that it would not charge MilliporeSigma, a life sciences company, even though one of its employees falsified export documents. The DOJ declined to prosecute...more
On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using personal messaging...more
11/17/2022
/ Broker-Dealer ,
Corporate Counsel ,
Department of Justice (DOJ) ,
Digital Communications ,
Electronic Communications ,
Financial Institutions ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Text Messages ,
WhatsApp ,
Workplace Communication