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Facing up to the challenge as the age of DORA dawns
The absence of a transitional period presents a challenge for firms and third parties.
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FTC alleges substance abuse clinic used online ads to pose as other clinics
Evoke Wellnesss and two of its executives sued by the regulator for the use of deceptive Google search ads and telemarketing.
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Gravy Analytics breach exposes sensitive location data of millions of users
The FTC’s proposed order against the company requiring it to delete all historic data because of a lack of end user consent for its use comes too late to help those whose sensitive personal information is now potentially exposed.
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FINRA disciplinary action update 2025/1
Disciplinary decisions issued January 1 – 10, 2025.
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McKinsey OxyContin settlement illustrates need for robust comms surveillance and archiving
The matter-of-fact narrative is scathing of the moral and ethical void at Purdue as well as the behavior at the consulting firm.
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1LoD report points to key regulatory trends in 2025
Regulatory preparedness, resilience and evolving challenges among the topics covered in an insightful and data-rich document.
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FINRA disciplinary action update 2024/50
Disciplinary decisions issued December 21 – 31, 2024.
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FINRA disciplinary action update 2024/49
Disciplinary decisions issued December 14 – 20, 2024.