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Financial companies & social media

How financial companies are succeeding at social media The past couple of years seemed to bring more fear than fun for the financial industry in the social media arena.  There was the much-talked-about ‘SEC sweep’ last year, in which investment advisors were asked to provide extensive information about their use of social media.  There were […]

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SEC Rule 17a-3 Compliance

Rule 17a-3 is a regulation issued by the U.S Securities and Exchange Commission (SEC), in line with the bodies’ regulatory authority, generally outlines requirements and standards of retention, management,  and making available of data pursuant to transactions and trading in the Financial and Exchange sector – with special provisions for business-related electronic correspondence. It is […]

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Online Records Compliance

Are your records being “lost in translation”? “Governments around the world are taking a leap into the cloud,” noted Government Computer News (GCN) in an article which focused on the Department of Defense, and its unique needs in moving to cloud solutions.  Among them were security concerns, total cost of ownership, and functionality — but […]

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SEC-ready Social Media Records

4 tips for keeping your social media records SEC-ready How long has it been since your firm revisited its compliance policies?  Are your recordkeeping programs effective for newer, evolving platforms like social media?  Are your advisers prepared with complete and reliable records of online business communications, including social media content? It’s been eight months since […]

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SEC Social Media Rules

SEC says companies can use social media — if they tell investors where to look A landmark ruling by the SEC is changing how publicly traded companies communicate with investors. Following an investigation of a CEO at Netflix who used his Facebook page to report sales figures, regulators decided that social media sites like Facebook […]

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Legal Implications of Twitter

As legal implications of Twitter skyrocket, is your company prepared? This year has already seen multiple cases of social media fiascoes — the kind where a record of online content becomes the key to a whole criminal case or the basis for a lawsuit. It’s these cases that remind us of how vital social media […]

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Social Media Accounts, Bankruptcy

Social Media Accounts transferable in Bankruptcy Case               With the growing importance of “social media assets” such as Facebook pages and Twitter accounts in business and litigation settings, proper standards for handling such content are being called on from decision makers and compliance bodies alike. The standards of protecting […]

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Making Online Discovery Easy

Don’t get caught piecing together your online history The numbers of court cases involving web content — especially social media — have continued to increase. More often than ever, a Twitter stream or Facebook page has become key evidence in court. Companies and individuals are discovering that their online history is of vital importance — […]

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Digital records: avoiding spoliation

How to avoid spoliation and sanctions when dealing with digital records Electronic data is still on the rise — and so are sanctions relating to the inadvertent destruction of such data prior to litigation. The lack of a responsible records management policy for digital data puts companies at increased risk for censure during litigation. As […]

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Social Media Archiving Needs

Social Media Archiving: What do you REALLY need? While many industries have dived into social media with abandon to reap the benefits of free mass communication, financial firms have been forced to take a more cautious approach.  The heavily regulated financial industry has looked for guidance from FINRA concerning recordkeeping and approval policies, and there’s […]

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