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What is an Investment Adviser? A registered investment adviser (RIA) is an organization or individual hired by clients to provide investment and securities advice. In the United States, RIAs must be registered with the SEC as well as any relevant regulatory agencies in their local states. Compliance Requirements for Investment Advisers The roles and responsibilities…
The security of your organization’s information is paramount. To achieve this, protecting your data from unauthorized access, use, or disclosure is essential. Unfortunately, all too often, sensitive information still gets into the wrong hands. Understanding how leaks happen is the first step to reducing the likelihood of this happening. What Are Some Common Causes of…
With the SEC and other regulators majorly cracking down on individuals and companies for non-compliance with recordkeeping requirements, it is more important than ever for organizations to take heed and make sure that they are in full compliance. Apple’s iMessage is just one of many commonly used third-party messaging apps. If employees are using it,…
With 1.3 billion users, iMessage is one of the more popular messaging apps. When an employee of a regulated company uses iMessage to carry out business-related conversations with a client, it is the company’s responsibility to ensure that these conversations are monitored and stored in accordance with regulations. How Can Companies Engage in iMessage Surveillance?…
Information governance refers to the set of strategies, policies, and processes that guide how organizations create, use, share, store, archive, and delete their data. Effective information governance uses a holistic approach to ensure data accuracy, privacy, security, and compliance while enabling organizations to harness the power of data for informed decision-making and innovation. The Goals…
Instant messaging (IM) refers to the real-time exchange of text-based messages between individuals or groups over digital communication platforms. Unlike traditional email, which involves delayed communication, instant messaging allows users to engage in live conversations, enabling quick back-and-forth interactions. Instant messaging’s swift and convenient means of exchanging information, makes it an essential tool for businesses…
When a company’s employees use iMessage to communicate with clients or colleagues about business-related topics, they are required to comply with all relevant communication-capture rules and regulations. What are the iMessage Compliance Regulations? Governments, public sector organizations and companies in highly-regulated sectors such as financial services (including trading, banking, etc.), law, and healthcare all face…