News & Analysis as of

Data Preservation Financial Services Industry

Hanzo

Audit Readiness in Financial Services: A Practical Guide for High-Stakes Compliance

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In the financial services industry, audit preparation has become a continuous discipline that requires rigorous data governance, operational foresight, and real-time adaptability. This is especially important as compliance...more

Pagefreezer

5 Huge Reasons Banks Need to Archive Their Websites & Social Media Accounts

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The digital revolution has transformed the banking industry. As financial services and associated communications move online, it is more important than ever for institutions to manage and control their online presence....more

ArentFox Schiff

Newly Proposed Rule Expanding Cyber Incident Reporting to Affect Financial Services Companies

ArentFox Schiff on

Recently, the US Department of Homeland Security’s (DHS) Cybersecurity & Infrastructure Security Agency (CISA) issued a notice of proposed rulemaking (NPRM) which, if adopted, would require “covered entities” of critical...more

Wiley Rein LLP

CISA’s Proposed Cyber Incident Reporting Requirements Would Hit a Range of Industries and Sectors

Wiley Rein LLP on

The U.S. Department of Homeland Security’s (DHS) Cybersecurity and Infrastructure Security Agency (CISA) is publishing a proposed rule (Proposal or NPRM) that will require broad segments of industry to meet onerous and quick...more

Jones Day

DOJ's Antitrust Division and the FTC Announce New Guidance on Preservation for Collaboration Tools and Ephemeral Messaging

Jones Day on

The Antitrust Division of the U.S. Department of Justice ("DOJ") and the Federal Trade Commission ("FTC") are updating language in document requests and compulsory process to address companies' increased use of collaboration...more

BakerHostetler

SEC and CFTC Show No Signs of Slowing Down Enforcement Actions for Financial Firms’ Use of Off-Channel Communications

BakerHostetler on

The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more

Morgan Lewis

SEC Adopts Rule Amendments to Electronic Recordkeeping Requirements

Morgan Lewis on

On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and...more

Epiq

New Disclosure Pilot Scheme Begins in England and Wales

Epiq on

Parties with matters taking place in England and Wales need to be aware of a new disclosure pilot scheme that has become mandatory, with some exceptions, in English and Welsh business and property courts. These courts cover...more

Hanzo

The Complete Guide to SEC Rule 17a-4 for Compliance Professionals

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Looking for a great weekend read? You could turn to a classic novel, work your way through the list of articles you were too busy to read at work, or curl up with your favorite beverage and reread Securities Exchange...more

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