Why You Should Worry About Rule 17a-4

Last April we talked about how to comply with Rule 17a-4(f) under the Securities Exchange Act (SEA). But because many firms still aren't correctly fulfilling the regulation's requirements, we....

GDPR Countdown

5 Steps to Addressing a FOIA Request

FOIA 101 What Government Agencies Need to Know

At its core, the Freedom of Information Act (FOIA) gives individuals a legally enforceable right to access government information. Last year, there were more than 788,769 FOIA requests, and....

How to Comply with Rule 17a-4

In January, the Financial Industry Regulatory Authority (FINRA) released its 2017 Annual Regulatory and Examination Priorities Letter to inform firms about weaknesses in regulatory programs and....

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Information Governance - Records, Risks & Retention In the Litigation Age

Nowadays, investigations and court cases are likely to hinge on evidence from electronic documents, emails and even social comments. As the argument moves from how do we keep stuff, to how can we....