News & Analysis as of

Information Governance Enforcement Actions

Eversheds Sutherland (US) LLP

No good deed goes unpunished: FINRA punishes firm for failing to supervise use of approved off-channel communications

FINRA recently sanctioned, through a Letter of Acceptance, Waiver and Consent (AWC), a broker-dealer for off-channel communications—not because financial professionals texted or used instant messaging when they weren’t...more

BakerHostetler

DSIR Deeper Dive: Information Governance - Communication Retention Challenges and a Return-to-Office Reaction

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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

Hudson Cook, LLP

[Webinar] The Data Edge: Developments that Matter to Your Data Compliance - June 24th, 2:00 pm - 2:30 pm ET

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Hudson Cook, LLP is proud to announce the launch of The Data Edge: Developments that Matter to Your Data Compliance, a new monthly webinar series designed to help privacy and compliance professionals stay informed and...more

HaystackID

U.S. Visa Restrictions Signal New Era of Cross-Border Data Governance Challenges for Legal and Compliance Professionals

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The intersection of international diplomacy and digital governance has reached a critical inflection point with the U.S. State Department’s groundbreaking visa restriction policy announced May 28, 2025. Under Secretary of...more

Clark Hill PLC

Location, Location, Location: California Attorney General Investigative Sweep and State Law Proposal Target Location Data

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On March 10, the California attorney general’s office announced an “ongoing investigative sweep into the location data industry” (“investigative sweep”) for compliance with the California Consumer Privacy Act’s (“CCPA”)...more

BakerHostetler

Deeper Dive: Preserving Ephemeral Messaging - Capture Data Before Its Ghosts Haunt Your Compliance

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Organizations whose mantra is “We just never delete anything” (i.e., organizations simply retaining all information indefinitely) are now facing headwinds, especially when the information contains personal information. As our...more

Nelson Mullins Riley & Scarborough LLP

[Webinar] Keeping Up With and Staying Ahead of FCC Actions on Data Privacy and Security - October 22nd, 12:00 pm - 1:00 pm EDT

Carriers have an obligation to protect customer proprietary network information (CPNI) and personally identifiable information (PI). Several recent FCC consent decrees resolving breaches of CPNI and PI show the FCC will hold...more

Nelson Mullins Riley & Scarborough LLP

AT&T Consent Decree Underscores Telecommunications Carriers’, Vendors’ Obligations to Protect Customer Data

On Sept. 17, the Federal Communications Commission (FCC) announced that it has reached a Consent Decree with AT&T Services Inc. to resolve an investigation into a data breach that occurred in January 2023. AT&T's vendor...more

Lighthouse

Emerging Trends in Second Requests

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From increasing regulatory scrutiny to the best way to handle modern attachments, experts share their insights, best practices, and projections to help organizations and law firms prepare for upcoming Second Requests....more

Wyrick Robbins Yates & Ponton LLP

No Money, Mo’ Problems: DoorDash CCPA Enforcement Action Emphasizes Personal Information “Sales” Aren’t All About the Benjamins

The California Attorney General (“AG”) recently delivered (pun very much intended) a public CCPA enforcement action against DoorDash, its second following the 2022 settlement with Sephora. The DoorDash action stems from a...more

Thomas Fox - Compliance Evangelist

Compliance Program Use of Data Analytics

Matt Galvin, Counsel, Compliance & Data Analytics at the DOJ and one of the experts leading the DOJ’s data analytics initiative, highlighted in another talk, the proactive use of data to generate cases related to the FCPA and...more

Alston & Bird

What You Should Know About the EU Data Governance Act

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Last month, the European Union’s new Data Governance Act (DGA) came into effect. Our Privacy, Cyber & Data Strategy Group provides an overview of the key features of the DGA and discusses how the new law may impact businesses...more

Littler

Brazilian National Data Protection Agency (ANPD) Discloses List of Companies Being Investigated

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In the wake of the Brazilian National Data Protection Agency (ANPD) issuing further regulations on the determination of penalties for violations of the Data Protection Law (LGPD), on March 23, 2023 the ANPD launched a new...more

Epiq

Minimizing Data to Minimize Exposure: Information Governance and Data Security Overlap

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How important is it for organizations to keep track of their data footprint? The Federal Trade Commission (FTC) thinks this is crucial. On Jan. 9, 2023, the FTC finalized a consent order following a breach. The order was...more

Robinson+Cole Data Privacy + Security Insider

California AG Announces CCPA Compliance Efforts

The Office of the California Attorney General recently announced that it will initiate an investigative sweep and will start sending letters to businesses about their mobile apps for failure to comply with the California...more

Cadwalader, Wickersham & Taft LLP

UK Regulators Fine Leading Bank £48m for Operational Failings

The UK’s Financial Conduct Authority (“FCA”) and Prudential Regulation Authority (“PRA”) have together fined a leading bank a total of £48,650,000 for IT failures that left customers unable to access their accounts. The fine...more

Robinson & Cole LLP

Data Privacy + Cybersecurity Insider - April 2022 #2

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CYBERSECURITY - State Department Establishes Bureau of Cyberspace and Digital Policy - The Department of State’s new Bureau of Cyberspace and Digital Policy (CDP) commenced operations on April 4, 2022. According to an...more

Robinson & Cole LLP

Data Privacy + Cybersecurity Insider - September 2021 #2

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CYBERSECURITY - Medical Center Rebuilding EMR Following Ransomware Attack - Queen Creek Medical Center (QCMC), also known as Desert Wells Family Medicine, located in Arizona, has notified up to 35,000 patients of a data...more

A&O Shearman

SEC Brings Enforcement Action Against Broker-Dealer For Deficient Cybersecurity Procedures

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On September 26, 2018, the United States Securities and Exchange Commission (“SEC”) announced a $1 million settlement with an Iowa-based broker-dealer over allegations that it maintained deficient cybersecurity policies and...more

Bracewell LLP

Who Is Watching The Watchmen?: CFTC Penalizes Registrant For Outsourced IT Security Lapses

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On February 12, 2018, the Commodity Futures Trading Commission (CFTC) settled charges against AMP Global Clearing LLC (AMP), a futures commission merchant (FCM), for the company’s failure to adequately supervise one of its IT...more

Proskauer on Privacy

SEC Cybersecurity Update

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Results from the SEC’s First Round of Cybersecurity Examinations - On February 3, 2015, the OCIE published a risk alert summarizing its findings from its examinations of over 100 registered investment advisers and...more

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