Securities and Exchange Commission (SEC), Electronic Communications, Risk Management

The Major Microsoft Teams Challenge Stumping Legal & Compliance Teams

Pagefreezer on 3/17/2025

Since 2019, the number of users on Microsoft Teams has risen 1500%, from a modest 20 million users in the pre-pandemic year (2019) to over 320 million users in 2024. Microsoft's collaboration platform is now the default...more

Regulatory Roundup for May 2024

SEC Compliance Consultants, Inc. (SEC³) on 5/30/2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

Revolutionary Smartphone Data Collection Technology Helps Corporations Enforce and Comply with Regulatory Rules

EDRM - Electronic Discovery Reference Model on 3/4/2024

The use of smartphones in the workplace is commonplace. Smartphones can offer many benefits to employees and employers, such as increased productivity, communication, collaboration, and flexibility. Hence, many companies...more

Electronic Communications Risks — Asking the Critical Questions? (Part I of III)

The Volkov Law Group on 10/17/2023

Honestly, I have been avoiding this topic since it presents a real morass of risks and potential traps for the unwary company and Chief Compliance and Chief Legal Officers....more

New DOJ Guidance on Personal Devices and Third-Party Messaging Applications Applies to Any Company DOJ May Scrutinize

Perkins Coie on 11/29/2022

The U.S. Department of Justice (DOJ) recently released new guidance announcing several policy changes to further strengthen and clarify its approach to prosecuting corporate crime. The guidance, released through a memorandum...more

Cyberfraud Victims May Have Violated SEC Internal Control Requirements: Adding Insult to Injury

Parker Poe Adams & Bernstein LLP on 11/9/2018

Just when you thought the hazards of cyberfraud couldn’t get worse, the SEC recently issued a Report of Investigation (more on that later) stating that nine recent corporate victims of cyberfraud may have compounded their...more

SEC Special Report: Rampant Business Email Compromises Require Reassessment of Internal Accounting Controls

Ballard Spahr LLP on 10/23/2018

The U.S. Securities and Exchange Commission (SEC) has joined the government chorus in sounding the alarm about the rapid rise in "business email compromises" that are victimizing organizations across industry sectors....more

Securities and Exchange Commission (SEC) › Electronic Communications › Risk Management