Fri.Aug 11, 2023

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‘Heed This Message’: Organizations That Fail to Contemplate Off-Channel Communications ‘Do So at Their Own Peril’

Discovery Advocate

Financial Regulators Continue Focus on Off-Channel Communications On Aug. 8, the Securities and Exchange Commission (SEC) announced it had imposed $289 million in fines on 10 broker-dealers for violating recordkeeping provisions of federal securities laws. Similarly, the Commodity Futures Trading Commission (CFTC) announced on the same day that it had imposed $260 million in fines on four CFTC-registered firms for violating CFTC recordkeeping rules.

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Never Forget to Follow Up on Emails Again With the New Outlook Interface

Attorney at Work

Danielle DavisRoe | Create tasks and calendar appointments with reminders in the new Outlook interface. The post Never Forget to Follow Up on Emails Again With the New Outlook Interface appeared first on Attorney at Work.