It has been just over 120 days since the US Securities and Exchange Commission’s (SEC) Regulation Best Interest (REG BI) rules came into effect, which made it a legal requirement for...
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It has been just over 120 days since the US Securities and Exchange Commission’s (SEC) Regulation Best Interest (REG BI) rules came into effect, which made it a legal requirement for...
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As the number of electronic communication platforms continues to grow, companies face not only greater risks and higher costs from not managing and storing those messages properly, they...
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The rise of collaboration platforms such as Slack may have made the transition to remote working easier, but it has created fresh challenges for information governance and in-house legal...
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Ever since the Texas Legislature updated its Public Information Act last summer with the passing of Senate Bill 944, work-related text messages sent by public officials are now a matter...
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JPMorgan Chase was slapped with a $920 million mega-fine after the US bank failed to detect a group of employees manipulating markets by trade spoofing, underscoring the huge risks...
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Attracting new prospects—or even retaining existing clients—could be about to get trickier as the SEC proposes the first changes to its advertising rules for investment advisors since...
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