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Policies and Procedures Electronic Data Transmissions Information Governance

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

Mitratech Holdings, Inc

Data Governance And Data Management: What’s The Difference?

Mitratech Holdings, Inc on

A lot of attention is now being paid to the topic of data governance, and what it means versus data management. Within the last few years, data governance has leapt from an esoteric term bandied about only by IT...more

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