FINRA 11-39 compliance overview

FINRA 11-39 compliance overview (Social Media Websites and Use of Personal Devices) FINRA 11-39 provides further guidance for firms on applying rules governing communications with the public when using social media. In short, firms are reminded that existing rules for recordkeeping, suitability, supervision and content requirements all apply to social media. Additionally, FINRA clarified the […]

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2017 FINRA Exam Letter: The 3 S’s of Compliance
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The new year is upon us, and once again it’s time for a slew of “Predictions” webinars, events, and programs (including this week’s “Top 5 Compliance Predictions” webinar– recording located here) as well as the annual FINRA Regulatory and Examination Priorities Letter highlighting the focus of that self-regulatory body for 2017 ( In this year’s letter, […]

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Fake News and Email Review
fake news

The Internet is a valuable research tool for both individuals and firms. However, it can also be used as a tool to adversely affect not only people, but corporations and the securities markets. In the last decade, the securities industry has seen threats like ransomware, direct action, and file infector viruses, as well as fake […]

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TrueCompliance™: The Missing Factor in Data Compliance
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Perhaps one of the most discussed Data Compliance predictions among Chief Compliance Officers, CTOs, and CIOs in 2017 is data capture, data protection and even more so, cyber threat protection. According to the Data Protection Network, many industry professionals are confident that 2017 will be the year when companies shift from a ‘how can we […]

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Safeguard your Enterprise’s Digital Communications

Building Secure, Enterprise Digital Communications In an age where digital communications are disseminated and sent with a single voice command, the simple touch of a screen, and the on average 4+ communications channels that employees use on daily basis and growing,1 companies are realizing that their successes depend not only on the talent, but also crucially on […]

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‘Tis the Season for Electronic Correspondence Reviews

Most firms and supervisory groups approach electronic correspondence reviews in three ways: percentage of review, keywords 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 storage, […]

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How To Get Ready for GDPR

Getting Ready for the General Data Protection Regulation (GDPR) Unsure about whether GDPR applies to you? It doesn’t matter if we are pre- or post-Brexit, or if you’re in Europe, APAC or the USA. Any company holding identifiable information of an EU citizen, no matter where it’s based, needs to be aware of the implications of […]

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Last Week at Information Governance Forum, Atlanta

Great discussion last week with the Information Governance Initiative (IGI) along with Today’s General Counsel at Thursday’s Information Governance Forum in Atlanta on “Identifying and Coordinating IG Stakeholders” with Barclay Blair and “Automating Information Governance” with Jason Baron. The event recapped the “fireside chats” I’ve been fortune to take part in alongside Jason and Barclay […]

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Workplace by Facebook is Here, and Actiance Socialite Has Your Back

Earlier this month Facebook unveiled Workplace, the enterprise version of the popular social media network. Already, more than 1,000 organizations are using the tool to collaborate with colleagues. While it faces a slew of competitors, it is expected to build traction in the enterprise given the widespread affinity and familiarity to the social network. Workplace […]

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