See the latest news and insights around Information Governance, eDiscovery, Enterprise Collaboration, and Social Media.
Adobe Experience Manager (AEM) as a cloud service comes with a few native tools for short-term back-ups and version control. But if you’re looking to create a legally-admissible, compliant archive of your AEM website content, Adobe itself warns that these features are, “not intended as an audit log or for legal purposes.”
Complying with your industry's record keeping regulations may seem like a given; yet stories of non-compliance continue to circulate in the news. Unaware of the significant harms of failing to meet regulations, many organizations are overlooking compliance as a major priority. Let's take a look at a few reasons why compliance should always sit at the top of your organization's priority list, and the costs you can avoid by doing so.
The Markets in Financial Instruments Directive 2004/39/EC (MiFID) came into play in 2007. Established by to regulate investment services, increase competition and enhance consumer protection, MiFID applies to all member states of the European Economic Area including banks, brokers, financial service institutions and advisers and more. On 20 October 2011, the European Commission adopted a legislative proposal for the revision of MiFID which took the form of a revised Directive and a new Regulation The European Parliament and Council reached an agreement to develop MiFR, and MiFID II to further make markets more transparent and better protecting of investors.
We touched base with our financial services client, Jason Wenk, CEO of Retirement Wealth Advisors to find out how PageFreezer has helped his business meet regulations and focus on what they do best - helping clients live more enjoyable lives with smarter financial planning.
Ever since social media first came into our lives with the emergence of platforms like MySpace in the early 2000s, it has shown no signs of slowing down. Today, over 30% of the world’s population utilizes some type of online community. In the U.S, that number amounts to 73%. Facebook itself has more active users than China’s entire population of 1.40 billion! While social media offers the benefits of extended reach, flexibility and freedom as a means of communication, financial services firms can find themselves at serious risk if they fail to archive social media content like other business communications.
Financial firms are naturally cautious when it comes to new communication technology. After all, they understand that regardless of the medium the general rule applies; they are accountable for all business communications. Plus, each new communication channel comes with its specific compliance issues that need to be figured out BEFORE any actual use.
Financial industry recordkeeping regulatory requirements like the U.S. Securities and Exchange Commission (SEC) Rules 17a-3 and 17a-4, and the Financial Industry Regulatory Authority (FINRA) Rules 4511 and 2210, play a crucial role in maintaining the integrity of the U.S. financial markets. These regulations are not just bureaucratic formalities; their oversight involves ensuring that financial services firms adhere to stringent record retention requirements, essential for the transparency, accountability, and trust that underpin the financial system.
According to its IPO prospectus submitted to the US Securities and Exchange Commission on February 22, 2024, Reddit has more than 100K active communities, 73 million daily active visitors, 267 million weekly unique visitors, and more than 1 billion cumulative posts.
Requesting production of documents and responding to requests for production (RFP) are key aspects of the discovery process, allowing both parties involved in a legal matter access to crucial evidence.
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