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The Financial Industry Regulatory Authority (FINRA) is not afraid of issuing steep fines when it comes to non-compliance of SEA Rules 17a-3 and 17a-4 of Section 17(a)(1) of the Securities Exchange Act of 1934 (‘’Exchange Act’’ or ‘’SEA’’). We previously mentioned how FINRA fined 12 firms a total of $14.4 million for what it called “failing to protect records from alteration.” And while the technology exists to support brokerage firms in the securities industry (and one would expect non-compliance to slowly decrease), fines continue to be issued.
Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). The goal of these regulations is to protect the industry and its customers—and both bodies are willing to impose hefty fines if they believe a firm has stepped out of line.
What happens when online harassment crosses the digital divide? For several years now, the practice of swatting has been on the rise, and featured in news stories the world over. What exactly does the practice entail? What are the legal consequences of swatting, and what kind of damage has been inflicted upon those who have fallen victim to it?
With its roots in hacker communities of the 1990s, today, doxxing remains a widespread cybersecurity issue. If anything, the problem is growing. 21% of Americans (more than 43 million individuals) report having personally experienced doxxing. An even greater number, 62%, personally knew someone who had been the victim of a doxxing attack.
An efficient and cooperative discovery stage can have a huge impact on the smooth progression of a legal case. As the examination of increasingly vast quantities of electronic documents becomes commonplace, an effective and dependable approach to this important element of modern litigation is essential.
The need for clear communication at all levels of government has never been greater. Governmental bodies must ensure transparency, trust and professionalism with their colleagues and, more importantly, with the public. Getting this right isn’t just a case of better public relations—it is a matter of compliance.
Companies must ensure they are in total compliance with data preservation requirements—and with the growing amounts of ESI generated, it is increasingly common for litigation to require access to evidence stored digitally. So what can legal teams do to ensure that crucial data is placed on legal hold and not disposed of?
When it comes to compliance, those working within heavily regulated industries are well accustomed to the constant introduction and updating of new legal rulings. Thankfully, technology keeps evolving in support of businesses to help make meeting these requirements an achievable and even streamlined process.
Modern enterprise necessitates the control of huge amounts of data. From creation through to storage and finally, safe disposal, information governance is the process of applying set rules and procedures to ensure the responsible management of this data.
Jean-Pierre LeBlanc, a tech-industry veteran with extensive experience in driving products from vision to market delivery, has joined Pagefreezer as Chief Technology Officer.
