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 The most common sources include uncaptured communication channels, outdated retention policies, manual processes and weak ediscovery readiness.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 […]
Data Governance Risk and Compliance: What It Is, How It Works and Why Archiving Matters
Key takeaways Data GRC is a structured approach that unifies governance, risk management and compliance into one coordinated program. A data GRC framework aligns policies, controls and regulatory obligations with business objectives, reducing duplicated work and blind spots. Regulated industries like financial services, healthcare and government face the highest data GRC stakes because recordkeeping failures […]
FERPA Compliance for K-12: Email Communication and Archiving Guide
Key Takeaways FERPA protects student education records at institutions receiving federal funding and gives parents, or eligible students over 18, control over how that data is disclosed. An email containing student grades, attendance, health data, or disciplinary information may qualify as an education record and must be secured, archived, and access-controlled. Common FERPA violations, like […]
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 […]
Microsoft Office 365 Migration: A Step-by-Step Checklist
Key Takeaways A Microsoft 365 migration touches email, files, identity, permissions, and compliance policies. Skipping any of these creates gaps that show up during audits, ediscovery requests, or user support tickets. Start with clear goals, a complete environment inventory, and a cleanup plan so you don’t move stale, duplicate, or non-compliant data into the new […]
