Avi Weitzman Matthew Previn
November 10, 2022 | New York Law Journal
Wall Street Sweep: Handling Personal Devices, Ephemeral Messaging and Privacy RightsThe SEC and the CFTC recently announced billion dollar settlements against several Wall Street financial institutions involving "widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications," in violation of recordkeeping requirements in the federal securities laws. The magnitude of the fines underscore the importance of firms' record-keeping to regulators.
By Avi Weitzman, Matthew Previn and Josh Christensen
11 minute read
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