Off-channel communications create challenges in compliance and risk management. Recent actions by the Securities and Exchange Commission (SEC), including substantial fines imposed against firms for failures in controlling off-channel communications, highlight the importance of this issue. In this article, we’ll go over: The overview of off-channel communications Regulatory and compliance landscape Recent SEC enforcement actions […]
Overcoming Email Overload – Email Management Best Practices
Email remains the most used communication channel in both personal and business settings. With millions of emails exchanged daily, it’s no surprise that email management has become so hard due to email overload. It’s hard to keep your inbox clean and organized when it’s continuously flooded with email messages. We spend around 23% of our […]
Crafting an Effective Records Management Policy
Records management policy is the backbone of organizational efficiency. It ensures that important records are systematically managed from creation to disposal. This policy helps maintain the integrity and accessibility of vital information and is essential for complying with legal and regulatory standards. In this article, we’ll cover: Four reasons why you need a records management […]
Slack vs Microsoft Teams – Which Collaboration App Is Best
With remote work being the new standard, collaboration and communication platforms like Slack and Microsoft Teams have become staple companies across many industries. The debate of Slack vs. Microsoft Teams has been going on for years and businesses still aren’t sure which platform is better for their needs. Both have their pros and cons. However, […]
CCPA Compliance and Data Retention
The California Consumer Privacy Act (CCPA) impacts businesses within California and sets a precedent for how personal information is handled across the United States. Understanding and complying with the CCPA is important for businesses to maintain trust, avoid legal penalties, and safeguard consumers’ privacy rights. Whether you are an IT Director, Compliance Officer, or CIO, […]
Legal Hold Explained – The Critical Part of Email Archiving
We won’t beat around the bush — your electronic communications records might be the deciding factor in a legal case. That’s because all of your email and communications can be used as evidence in legal disputes, investigations, FOIA/CCPA requests, and lawsuits. However, most organizations can’t provide this evidence because it was either deleted a long […]
Ensuring WORM Compliance: A Guide for Regulated Industries
Write Once Read Many (WORM) compliance represents a set of policies and technologies designed to ensure that once data is written to a device, it cannot be altered or erased. Whether you are an IT Director, Compliance Manager, or a CTO, this guide will equip you with a comprehensive understanding of WORM technology and its […]
Data Retention Policy Explained: A Comprehensive Overview
Data is one of the most precious resources in the world today. Some even consider it more valuable than oil. It’s so valuable that almost all data being generated and exchanged is being stored by businesses for various purposes. But, there are certain laws governing what your organization can do with data, and even more […]
Microsoft Teams vs. Zoom – Which Platform Is Best for Your Business
With the modern approach to business operations, working from home has become a new standard, especially after the COVID-19 pandemic. With it came new challenges in how teams communicate with each other and gather on important meetings. To solve this, businesses started to implement video conferencing technology to help their teams stay connected and allow […]
How to Meet FINRA Compliance and Retain Records in Line With SEC 17a-4
The financial sector is overseen by two key regulatory bodies that determine how you manage your business records — FINRA and the SEC. Due to the complexity and rigor of these regulations, it’s challenging to comply, and many financial firms still face hefty fines. However, there are strategies and solutions you can implement to get […]
