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Showing posts tagged with Clearwell
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pfavro | 12 Dec 2011 | 0 comments

A common perception about IT professionals and lawyers is that they do not work together cooperatively.  Ask an IT professional about lawyers and you may get a puzzled or even a dirty look.  Indeed, you may not even get an answer as the IT professional silently walks away.

That in fact happened to me a few times while attending Gartner Data Center in Las Vegas this past week.  My colleagues invited me – a lawyer – to attend this IT-focused event.  The purpose for doing so was to better understand the most pressing demands IT professionals face with respect to eDiscovery.

Happily, most of the attendees I spoke with did not walk away silently once they understood that I was an attorney.  Many were intrigued that I would attend the conference and opened up to discuss their eDiscovery concerns.  I was fascinated by what they shared.  Two of the most common concerns were:

  1. Legal’s refusal to involve IT on...
pfavro | 29 Nov 2011 | 0 comments

The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 11-48 last month to request public comment on a proposed new rule requiring carrying/clearing organizations to maintain various records for FINRA, the SEC and the Securities Investor Protection Corporation.  If the new rule – proposed FINRA Rule 4516 (Readily Identifiable and Accessible Records) – is adopted by the SEC, it would provide additional justification for certain financial services companies to deploy automated archiving software such as Enterprise Vault to address the challenges of regulatory recordkeeping.

The purpose of proposed FINRA Rule 4516 is to protect investors in the event a clearing organization can no longer continue to operate due to financial or operational problems.  A clearing organization is an entity through which futures and other derivative transactions...

pfavro | 10 Nov 2011 | 0 comments

Is your organization among those that have jumped with both feet into the world of social media?

Recent survey results confirm that social media use is on the rise for almost all organizations across the globe.  This is particularly the case in the financial services industry.  A recent industry survey confirms that nearly two-thirds of all asset managers are actively using social media for marketing purposes.

Despite its increasing popularity and ubiquity, the securities industry is experiencing growing pains with social media.  Just like other industries,...