Misuse of personal devices at work

You may have seen an article we wrote in March this year on the risks associated with mobile messaging and how regulating record keeping practices in financial services firms is slowly becoming a priority amongst the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). Additionally, [...]

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Troublesome Texts: Managing the Risks of Mobile Messaging

Regulating record-keeping practices, whilst important, has not always been a top priority for financial services regulators around the world—especially as the monitoring of such activity (to a greater or lesser degree) is examined through the lens of data protection legislation. However, regulatory approaches are changing: the U.S. Securities and Exchange [...]

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Registered Investment Advisers – Personal Account Dealing Guidance

In late June 2015, the United States Securities and Exchange Commission (SEC) Division of Investment Management released Guidance Update No. 2015-03 entitled “Personal Securities Transactions Reports by Registered Investment Advisers: Securities Held in Accounts Over Which Reporting Persons Had No Influence or Control.” Despite the title, Exempt Reporting Advisers should [...]

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