Key Takeaways Regulated communications include any business message (email, text, chat, voice, social media, video) subject to federal, state or industry-specific retention and supervision rules. Organizations in finance, healthcare, government and education face overlapping regulations (FINRA, SEC, HIPAA, the Sarbanes-Oxley Act (SOX), FOIA) that all require capturing, archiving and producing communications on demand. The shift […]
HIPAA Data Governance: How to Build a Compliance-Ready Framework
Key Takeaways HIPAA data governance is more than IT security. It covers the policies, roles and controls ensuring PHI is captured, stored, accessed and disposed of under federal rules. A complete HIPAA data governance framework covers six pillars: data classification, access controls, retention and disposal, audit trails, risk assessment and incident response. Electronic communications (email, […]
HIPAA Violations: Types, Examples, Fines and How to Prevent Them
Key Takeaways A HIPAA violation occurs when a covered entity or business associate fails to comply with any provision of the HIPAA Privacy, Security, or Breach Notification Rules. Civil penalties range from $145 to $2,190,294 per violation (adjusted for inflation), with the highest tier carrying an annual maximum of $2,190,294 per violation category; criminal penalties […]
Best Data Management Tools: A Guide for Compliance-Driven Organizations
Key Takeaways Data management tools span eight categories, from governance and archiving to warehousing, security and beyond, and most organizations need a combination of them. Regulated industries face retention, supervision and legal readiness requirements that generic data management guides routinely overlook. Data archiving is a distinct data management category focused on long-term, searchable, tamper-proof storage […]
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 […]
Communication Audit: A Complete Guide to Compliance and Data Archiving
Key takeaways A communication audit confirms employee communications are captured, retained and retrievable in line with FINRA, HIPAA, SEC and GDPR. Regulated industries face audit mandates that require documented proof of communications monitoring and retention. Off-channel communications like WhatsApp, SMS and personal email are the biggest audit gap for most organizations. A defensible audit requires […]
Multichannel Communication Compliance: What It Is and How to Get It Right
Key takeaways Multichannel communication compliance requires organizations to capture, retain and produce business communications across every channel employees use. Regulations like Securities and Exchange Commission (SEC) Rule 17a-4, FINRA Rules 3110/4511, HIPAA, FOIA and the General Data Protection Regulation (GDPR) each impose specific recordkeeping obligations on different channels. Off-channel communications on unapproved platforms are a […]
FOIA Request: What It Is, How It Works and What Government Agencies Need to Know
Key Takeaways A FOIA request is a formal written request for records held by federal executive branch agencies under the Freedom of Information Act, enacted in 1966 Anyone can file a FOIA request regardless of citizenship or residency, but the law applies only to federal agencies, not to Congress, the courts or state governments Nine […]
Compliance Gaps: How to Identify and Remediate Them Before an Audit Does
Key takeaways Compliance gaps are discrepancies between what regulations require and what your organization actually does, and they carry serious financial and legal consequences. The most common sources include uncaptured communication channels, outdated retention policies, manual processes and weak ediscovery readiness. Most organizations discover gaps reactively during audits or enforcement actions, not through proactive assessment. […]
Website Archiving: What It Is, Why It’s Required, and How to Get It Right
Key takeaways Website archiving captures and preserves all web content in tamper-proof storage to meet regulatory and legal requirements. SEC, FINRA, FOIA and state open-records laws all contain provisions that can require organizations to archive website content. Screenshots, content management system (CMS) backups and manual downloads don’t produce defensible, audit-ready website records. Compliant website archiving […]
