Key Takeaways WORM compliance (Write Once, Read Many) means storing regulated records in a format that cannot be altered or deleted for the full retention period. SEC Rule 17a-4 and FINRA Rule 4511 are the primary U.S. regulations behind SEC and FINRA WORM compliance requirements, but HIPAA, SOX, and FOIA impose similar obligations in healthcare […]
Jatheon Cloud Cuts SEC/FINRA Exam Response Time with Unified Search Across Communications
TORONTO, ONTARIO, CANADA: Jatheon highlights how Unified Search on Jatheon Cloud is helping regulated financial firms respond to SEC and FINRA examinations faster. By consolidating email, chat, social media, website, and file records into a single searchable interface, the solution streamlines ediscovery and regulatory response. Regulatory examinations and subpoenas often require firms to produce communications […]
MiFID III: What Compliance Teams Need to Know About the New Recordkeeping Rules
Key takeaways Instead of desk-based trading, mobile communication now leads the way, forcing firms to rethink how they capture, validate, and govern every interaction. MiFID III (Directive 2024/790) and MiFIR 2 (Regulation 2024/791) amend MiFID II with stricter requirements for transaction reporting, best execution and communication retention, with key deadlines in September 2025 and June […]
Jatheon Adds Website Archiving to Jatheon Cloud
TORONTO, ONTARIO, CANADA: Jatheon announced the addition of website archiving on its AWS-based compliance platform, Jatheon Cloud. The new capability enables organizations to automatically capture, retain, and search website content for compliance and ediscovery purposes. Designed for IT directors, compliance officers, records managers, and legal operations teams, the new website archiving capability extends Jatheon’s archiving […]
Ephemeral Messaging Compliance: What Regulated Organizations Need to Know
Key Takeaways Ephemeral messaging apps auto-delete communications that regulators, courts, and internal investigations may require your organization to produce. The DOJ, FTC, SEC, and FINRA have all issued guidance making clear that organizations must preserve business communications, including disappearing messages. Failure to preserve disappearing messages can trigger spoliation sanctions, obstruction charges, and multimillion-dollar fines. Real-time […]
Text Messaging Laws by State
Key Takeaways Text messages sent or received by government officials during public business are considered public records in all 50 states, though specific laws and exemptions vary. Federal laws like the Federal Records Act and FOIA apply to text messages at the federal level, while each state has its own public records or freedom of […]
Why You Need WhatsApp Archiving for Business Compliance
Key Takeaways WhatsApp messages used for business are subject to the same retention and production rules as email under SEC, FINRA, HIPAA, FOIA, and MiFID II. WhatsApp’s native backup and export features lack metadata preservation, legal hold, centralized search and immutable storage, making them inadequate for regulatory compliance. Failure to archive WhatsApp has resulted in […]
Data Governance Strategy: Guide for Compliance-Driven Organizations
Key Takeaways Data governance is the system of policies, roles and processes that determines how your organization manages, protects and uses data throughout its lifecycle. A data governance strategy is a compliance requirement for regulated organizations that need to pass audits, respond to records requests and reduce legal exposure under HIPAA, FOIA, FERPA, SEC 17a-4, […]
Effective Email Retention Policy Best Practices for Staying Compliant
Key Takeaways An email retention policy defines how long an organization should keep emails before they can be deleted. In most industries, retention periods range from 1 to 7 years. Some emails must be kept longer or permanently, depending on the regulation and record type. The most common U.S. laws that require email retention are […]
Jatheon Announces Claude AI Archiving on Jatheon Cloud
TORONTO, ONTARIO, CANADA: Jatheon announced Claude AI archiving in Jatheon Cloud, enabling organizations to capture, search, and manage AI communications alongside archived data sources. Designed for compliance officers, IT teams, and records managers, the new Claude AI integration extends Jatheon’s archiving capabilities to include conversational AI platforms, helping organizations maintain visibility and control over emerging […]
