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Perspectives on next generation cybersecurity, compliance risks and the cloud

June 03, 2014

Part 2: Key Social Media Compliance Takeaways from 2014 FINRA Annual Conference

[This is Part II of a two part blog series on the 2014 FINRA Annual Conference]

May 23, 2014

Key Social Media Compliance Takeaways from the 2014 FINRA Annual Conference - Part 1

Robert Cruz

This week, Proofpoint attended the 2014 FINRA Annual Conference. As always, the conference was jam-packed with sessions, exhibitors and compliance / legal folks from the Financial Services industry.

April 18, 2014

How can a financial services firm comply with SEC 17a3-4 using Office 365?

Robert Cruz

A. Hold Everything

I received a number of follow-up questions to the post focused on Office 365 and its ability to address complex regulatory and eDiscovery needs--several focused on the following:

January 24, 2014

Top 5 Reasons Why Your E-discovery Tool May Not be Sufficient for Information Governance

Robert Cruz

With LegalTech New York (#LTNY14) fast approaching, I find it a bit odd that to see some of same vendors at LegalTech as at ARMA and MER. With technology that, hmmm, looks pretty much the same at both.