FTC and DOJ's Antitrust Unit update guidance on use of ephemeral messaging
Agencies update documents to address increased use of collaboration and ephemeral messaging tools in business practices.
What does ‘prompt’ mean in communications monitoring and reporting?
We tackle this important question and assess the regulatory expectations around backlogs, speed of reviews and disclosing violations to authorities.
SEC says JPMorgan mistakenly deleted 47 million emails
JPMorgan must pay a $4m penalty for mistakenly deleting emails, some of which had subsequently been requested in regulatory investigations.
Disciplinary decisions issued July 4 – 31, 2026.
At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.
A security checklist for regulated Industries.
Disciplinary decisions issued January 31 – February 6, 2026.
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
Disciplinary decisions issued January 24 – 30, 2026.
FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
Disciplinary decisions issued January 1 – 16, 2026.
