Noteworthy Takeaways from FINRA’s 2018 Priorities Letter

FINRA marked the new year by releasing the annual Regulatory and Examination Priorities Letter, identifying areas the regulator will focus on in 2018. While the letter includes new topics and ongoing areas of focus, supervision is a common theme emphasized throughout the 2018 letter. A nice feature to this year’s Letter is a list of […]

Continue Reading
Regulatory Updates: FINRA Fines a Brokerage Firm $2 Million for Email Review Violations, and more Electronic Communication Sanctions in 2018

It’s a new year, and there’s no sign that regulators will be slowing down their review and enforcement actions. Now more than ever, regulators are penalizing firms for non-compliance of retention and supervision obligations. “Firms have a clear obligation to reasonably supervise electronic communications, which includes periodically re-evaluating the effectiveness of existing procedures” said Susan […]

Continue Reading
6 Legal Issues When Healthcare Uses Social Media

In the healthcare world, today’s patients demand greater flexibility, convenience and cost transparency when they access health care. This has changed the face of communications for the healthcare industry. Patients are increasingly turning to online sources and social media for information-related health issues. In fact, a recent global survey revealed that 29% of health industry […]

Continue Reading