Key Steps For Migrating From Legacy Archives To Modern Solutions

Modern business communications are evolving more rapidly than anyone could have guessed, even as recently as 10 years ago. While email remains a major player in electronic communications, channels such as social media and SMS/text messaging continue to grow in prominence — which means organizations hoping to stay on top of their regulatory compliance requirements […]

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Regulatory Fines, Sanctions, and the Link to Litigation

My colleague Marianna has done a terrific job keeping our customers and prospects informed of the latest trends surrounding regulatory fines and sanctions, such as her most recent post located here.  Building on that analysis, I’d like to drill into a specific aspect that is sometimes under-appreciated, namely the impact that regulation has upon eDiscovery […]

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Facebook, Cambridge Analytica and the Privacy of Your Data

You’ve just finished your 23rd GDPR article today and are now completely convinced that the world is not ready for the EU’s General Data Protection Regulation (GDPR). Having accepted that reality, you now return to your day job only to be welcomed by the latest data privacy saga: Facebook and Cambridge Analytica. While much will continue […]

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Regulatory Updates: Enforcement is Heating Up Across the Regulatory Landscape

Last month, the SEC and FINRA fined several firms for failure to establish reasonably designed supervision programs to ensure compliance with applicable securities laws and regulations. Individuals were also fined for failing to comply with securities laws and regulations pertaining to electronic communications. The SEC penalized a bank $3.7 million for failing to reasonably supervise […]

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Survey: Are We Moving Toward a Shared View of Information Risk?

Organizations today are faced with an unprecedented volume and variety of information risks that have enterprise-wide impact, including: Increased frequency of data breach carried out by advanced, targeted attacks Leaks of sensitive or high value information from departing employees Aggressive sanctions from regulators over the lack of supervisory compliance controls Business use of social and […]

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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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