Daily Compliance News: August 22, 2025, The WADA Returns Edition
Fox on Podcasting: Mastering Content Creation and Personal Branding with Dave Polykoff
Podcast - Ejecución de facturas electrónicas
Everyone Come to Play: Exploring FOCI Mitigation Instruments
Legal Alert | Wiretap Laws in the United States
The ‘Long Arm’ of CIPA and Its Newfound Pen-Trap Claims
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
Compliant Business Communications Through Messaging Apps
Digital Issues for Individuals Working at Home (Digital Planning Podcast)
Employment Law Now IV-54- A Guest Discussion on 3 Significant Government Decisions
Discussion of PA’s Revised Uniform Fiduciary Access to Digital Assets Act
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
[WEBINAR] The Public Records Act - Taming the Email Tiger
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
Let’s say, once upon a time, you worked from home during the pandemic. If so, did you use a variety of communication methods (perhaps switching among different platforms, never sure which camera or microphone would be...more
Business email compromise (BEC) fraud, driven by technology and increasing sophistication by criminal organizations, has become a major issue for both consumers and financial institutions. According to a September 2024...more
On January 13, 2025 the U.S. Securities and Exchange Commission (SEC) announced settled Administrative Proceedings against three broker/dealers and nine investment advisers related to electronic communications recordkeeping...more
On January 13, 2025, the U.S. Securities and Exchange Commission announced settled enforcement actions with five registered investment advisers for failing to maintain and preserve internal electronic communications. These...more
At the beginning of 2024, Nevada began to require companies that service student loans to obtain a license and comply with numerous operational requirements. The law also regulates companies that make or hold private...more
In previous articles we addressed quantum computing’s expected impact on the foundational technologies underpinning today’s computing ecosystem. But entire industries stand to be radically transformed by its advent – from...more
If you are reading this article, you are likely aware that a creditor collecting its own debts in its own name is not a "debt collector" under the federal Fair Debt Collection Practices Act ("FDCPA") or its implementing rule,...more
Every week, the Array team reviews the latest news and analysis about the evolving field of eDiscovery to bring you the topics and trends you need to know. This week’s post covers the week of July 8-14. Here’s what’s...more
Washington D.C., April 3, 2024, the SEC announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications, as...more
Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. On the theory that employees’ use of...more
It is challenging for law enforcement to track down and trace illicit activities conducted through digital currencies. The process can be very time- and resource-intensive. Further, securing charges and arrests, and...more
On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for...more
Q: What is DORA? “DORA” stands for the Digital Operational Resilience Act, an EU regulation that creates a new framework for the EU financial sector with regard to information and communications technology (ICT)....more
Nelson Mullins invites you to the two-day webinar, Creating a Data Privacy & Security Playbook for 2024: An Overview of Compliance and Regulations, AI, and Data Breach Concerns, on Feb. 7 and 8 in honor of Privacy Day...more
The U.S. Court of Appeals for the Second Circuit issued a summary order affirming a district court’s holding that an emailed response to the plaintiff’s email did not constitute an “initial communication” under the Fair Debt...more
This week I have a special five-part podcast series, sponsored by Verint on the Future of Communication in Financial Compliance on the Innovation in Compliance podcast series on the Compliance Podcast Network. My guest in...more
New York City’s Department of Consumer and Worker Protection (NYC DCWP) recently released a notice of proposed amendments to its debt collection rules. The proposed amendments are detailed, lengthy, and include expanded...more
On September 29, 2023, the U.S. Securities and Exchange Commission charged several firms with recordkeeping failures. These recordkeeping failures relate to pervasive and longstanding off-channel communications. Generally,...more
Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices involving the use of...more
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
Are you ready to learn how to implement electronic communications capture and supervision in your firm for better compliance and prevention of regulatory violations? Is messaging compliance giving your compliance function...more
On May 23, 2023, the Brazilian Central Bank (Banco Central do Brasil – “BACEN”), together with the National Monetary Council (Conselho Monetário Nacional – “CMN”), enacted Resolution No. 6 (the “Resolution”), which outlines...more
When announcing the much publicized $125 million fine against JP Morgan for violating recordkeeping rules, the U.S. Securities and Exchange Commission (“SEC”) Chair stated that financial institutions “did not act as if they...more
As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry for non-compliance with...more