Information Governance and the Social Enterprise

In the annual gathering of information governance and records management thought leaders at the MER Conference on “Information Governance and the Social Enterprise” . I’ve already received a few comments and inquiries about the session along the lines of: “What does social media have to do with records management?” “Is there an information governance for the anti-social […]

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‘Tis the Season for Electronic Correspondence Reviews

Most firms and surveillance groups approach electronic correspondence reviews in three ways: percentage of review, key words to identify problematic correspondence, and internal investigations. Thus far, regulators have not given firms much of a reason to do otherwise.  Most of the regulatory fines and sanctions have been the result of lack of review, lack of […]

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FCA Cloud Guidance Signals Maturation of UK Cloud Services Market

In July of 2016, the UK’s Financial Conduct Authority (FCA) issued new guidance to financial services firms on the use of outsourced cloud services. The guidance, FG 16/5, outlines requirements that firms should consider as they evaluate the use of cloud services for critical, important, or operational functions. While the guidance is not binding, it […]

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The FDA And Social Listening For Adverse Effects

As more patients post their medical experiences publicly, could social media be used to shed light on adverse drug and device effects?  To explore this question, thought leaders from the Federal Drug Administration (FDA), industry, pharma, academia and medicine recently gathered to explore collecting and evaluating social media posts to identify adverse effects. Included among them […]

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6 Takeaways for Compliance with UK Regulations on Communications and Social Media

UK Communications and Social Media regulations are impacting regulated industries. It is clear that as using a multitude of communications and social channels becomes the new workplace norm, highly regulated financial services organizations need a compliance strategy to tackle and mitigate these new areas of risk. Here are six ways you can help your firm […]

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4 Core Regulations That Impact Electronic Communications in the UK

Over the last five years, financial services regulators across the world have introduced or updated electronic communications regulations to control the compliant use of communications and social channels. Increasingly, regulators are keeping pace with new forms of communications and social channels, with existing and new guidelines taking a broad approach encompassing all forms of communications rather […]

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5 Key Areas of MiFID II Regulatory Requirements

As we discussed in “Highlights of The New Markets in Financial Instruments Directive (MiFID II)”, firms should plan for significant changes. MiFID II requires financial services firms across the globe to fundamentally review their business operations and processes, while also deciding which markets to continue operating in, and how to position themselves. In the short […]

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FINRA Keywords: Don’t ‘Set It And Forget It’

Financial services firms are faced with an uphill battle to manage and supervise the communications within their organizations so that they may comply with regulatory requirements. And it’s not just about email anymore. In addition to email, employees are using unified communications, instant messages, video, collaboration tools, and social media to communicate in real time […]

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FDA 21 part 11 – Regulations Governing New Communications In Pharma

There is little doubt that pharmaceutical companies can benefit from the adoption and deployment of communications and social channels. But these communications and social channels can also cause problems for firms if they are deployed and adopted without proper consideration for regulatory compliance and corporate governance.  Specifically, FDA 21 part 11 non-compliance with industry regulations […]

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