Robert Cruz
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.

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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.

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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.

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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.

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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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Robert Cruz

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