ENTRIES BY Robert Cruz
Elon Musk, DSA and the Marketing Rule: What It All Means for Social Media in Finance
Despite growing scrutiny from regulators including the SEC, FINRA and the FCA, social media remains a big driver of business for finserv firms.
Compliance & Legal Industry Insight: Digital Communications Are Front and Center
Collaboration, conferencing and other digital communications tools are creating new legal, regulatory and cybersecurity challenges and requirements.
Social and Mobile Apps: The Escalating Cost of Non-Compliance
A pattern of regulatory actions has emerged for non-compliance with electronic communications recordkeeping rules, as the use of newer, unauthorized apps increases.
Top 5 Communications Compliance and Risk Predictions for 2022
The continued proliferation of collaboration tools, adoption of AI, regulatory guidance for cryptocurrency and more predictions for compliance in 2022.
5 Tips to Prepare for the Unpredictable Regulatory Future of Cryptocurrency
The rules governing cryptocurrency securities will likely be similar to recordkeeping, storage, and supervisory obligations of other investment categories.
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