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Electronic discovery & records management - tip of the month: managing the risks and costs of e-discovery in multiple related investigations and litigations
- Mayer Brown LLP
- -
- USA
- -
- November 30 2012
The Securities and Exchange Commission (SEC) and several state attorneys general are investigating aspects of a financial institution’s specific service offering
Managing the risks and costs of e-discovery in regulatory investigations
- Mayer Brown LLP
- -
- USA
- -
- November 30 2011
A financial institution is being investigated by the Securities and Exchange Commission (SEC) in connection with the institution’s role as trustee in certain residential mortgage-backed securitization (RMBS) transactions
SEC sanctions broker-dealer and CCO for failing to preserve and produce the personal email and personal computer of independent contractor
- Mayer Brown LLP
- -
- USA
- -
- August 11 2010
In an opinion that may give pause to securities broker-dealers and others subject to production requests from the Securities and Exchange Commission ("SEC" or "Commission"), the SEC in In the Matter of vFinance Investments, Inc. censured, fined and issued cease and desist orders against vFinance Investments, Inc. (“vFinance”) and its former Chief Compliance Officer, Richard Campanella, for violating the recordkeeping and production requirements of the securities laws by failing to preserve and promptly produce electronic communications in response to SEC requests, including the personal email and personal computer of an independent contractor working in one of vFinance’s branch offices
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- Workarea - Capital Markets
- Firm Name - Mayer Brown LLP
- Author - Anthony J. Diana