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Survey: Over half of U.S. workplaces block social networks
October 6, 2009. A majority of U.S. workplaces block access to social-networking sites like Facebook and Twitter, new survey results commissioned by consulting firm Robert Half Technology indicate. Fifty-four percent block social networks "completely," while another 19 percent only permit it "for business purposes." |
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Compliance Watch! Social Networking Tests Compliance Officers - WSJ
September 18, 2009. An explosion in usage of social-networking sites creates a conundrum for brokerages, which must balance a potentially golden marketing opportunity against the watchful eye of regulators. |
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Corporate Blogs and Tweets - WSJ
April 27, 2009. Corporate Blogs and 'Tweets" Must Keep SEC in Mind. Social media offer immediacy and spontaneity to communications but risk running afoul of regulations. Wall Street Journal. |
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Richard Brewer-Hay -- Next Wave of Investor Relations Professionals
April 27, 2009. Richard Brewer-Hay made it into the Wall Street Journal. He is part of the next wave of investor relations professionals who are using web 2.0 tools to provide investors with company information. Compliance Building. |
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Morgan Stanley Hiring Compliance Officers
March 4, 2009. Morgan Stanley is looking to hire a number of compliance and legal officers. |
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Breakdown at the SEC
February 26, 2009. Senator Charles Grassley, the senior Republican on the Senate Finance Committee, recently demanded to know what the new SEC commissioner and a former head of the Financial Industry Regulatory Authority, Mary Shapiro, will do about 4,000 e-mails and other documents that suggest there was insider trading at Lehman Brothers, the investment giant whose 2008 bankruptcy marked a turning point in the financial crisis.
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Three County Officials Fired Over Text Messages
January 28, 2008. Three employees in the Highlands County (Florida) budget department were fired for "the nature of, and the volume of, text messages sent on county computers".
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Most text messages are saved only briefly
January 28, 2008. Most text messages are saved only briefly and for standard consumer text-messaging technology, the answer is largely that they disappear.
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Webcast
In a recent webcast, SEC legal expert Jefferey Plotkin discusses how you can continue to allow employees to communicate in the electronic format of their choice, while ensuring that your firm is meeting its regulatory obligations in light of the recent 12/07 FINRA ruling.
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Streamlining Global Compliance
November 26, 2007 - Globalization continues to be a trend, and companies are finding they can’t manage current global compliance requirements efficiently.
As firms expand into more and more emerging markets, disparate regulations make it difficult to leverage compliance systems enterprisewide, forcing many companies to implement costly and often redundant point solutions to comply with local requirements. |
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Supervision of Electronic Communications
July 13, 2007 - Given the pace of technological innovation in electronic communications, and the breadth of possible communications subject to review, NYSE and NASD are issuing this Joint Request for Comment to solicit comments from member organizations. |
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95% of Workers To Use IM as a Primary Comm Tool (Baseline Magazine)
June 22, 2007 - Increased regulatory and compliance issues mean CIOs now have to deal with a slew of new security and data-management problems. Workers conditioned to the constant and annoying pings of their instant-messaging systems had better buck up and get used to it.
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Wall Street gets 'guidance' on mobile devices
June 15, 2007 - Get these gadgets under control.
That's the central message of a long-anticipated report released this morning by Wall Street's two self-policing organizations, NYSE Regulation and NASD, relative to the ubiquitous use of Blackberry devices. |
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Wall Street panel to propose guidelines for e-mail
June 14, 2007 - Every day, millions of dollars are potentially at stake as electronic communications whiz through the air. Yet that ever-expanding number of ways to communicate - like handheld BlackBerrys, text messages and instant messaging - have recently received a thumbs down. |
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Firms Fret as Office E-Mail Jumps Security Walls (New York Times)
January 11, 2007 - Companies spend millions on systems to keep corporate e-mail safe. If only their employees were as paranoid.
A growing number of Internet-literate workers are forwarding their office e-mail to free Web-accessible personal accounts. |
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Magic Quadrant for E-Mail Archiving (Gartner Group)
May 12 2006 - New e-mail archiving vendors are entering the market every day, but few can fulfill the need of enterprise customers for a single product javascript:submitbutton('save'); Save Savethat can support compliance, discovery and mailbox man. |
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E-Mail Retention: The High Cost of Digging Up Data (BaseLine Magazine )
August 2, 2006 - When encountering legal or regulatory action, technology managers who fail to get corporate data fast or vouch for its completeness can cost their companies millions of dollars. Learn what happened to investment bank WestLB. |
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Is Your Boss Monitoring Your BlackBerry? (E-Commerce Times)
May 25 2005 – Did you know messages sent from one BlackBerry to another using PIN numbers, rather than using normal e-mail addresses, will not bypass a company's computers? These communications are not private. |
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Breakfast Briefing - Save All (Waters )
June 1, 2005 - Investment firms have a choice when it comes to compliance: Save every single e-mail and instant message or face the wrath of regulators. Can the CIO and the CCO see eye-to-eye in these take-no-prisoners times? |
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The BlackBerry: On the Air and Off the Record (Securities Industry News)
June 13, 2005 - The Securities and Exchange Commissions Rule 17a-4 and the National Association of Securities Dealers Rule 3110 require broker-dealers and exchange members to preserve all electronic communications
pertaining to their firms business. |
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BlackBerry battle chills Bay St. gossips (Globe and Mail)
January 7, 2005 - Most morning meetings on Bay Street are devoted to dreaming up the next mega-merger or predicting the day's big winner on the stock markets. But, as Canada's deal makers huddled over their coffees Thursday, the conversation was dominated by a very different concern: how to make sure their BlackBerry messages remain private. |
