Recorded Webinar—“Off-Channel” Communications: Managing Risks as SEC & DOJ Scrutinize Personal-Device Use and Recordkeeping

Webinar

Click HERE for copy of slide deck.

Panelists:
Hayley Trahan-Liptak, Partner, K&L Gates LLP
Christopher F. Warner, Associate, K&L Gates LLP

Description:
Business communication has been slowly migrating from email to personal devices, chats, and apps, and the SEC and DOJ appear to be catching up. Enforcement actions in 2022 against financial institutions and references to electronic communication use and record keeping in the SEC’s 2023 examination priorities signal that the SEC has zeroed in on record keeping for business-related communication conducted on personal-devices and apps. Meanwhile, DOJ recently revised its standards for evaluation of corporate compliance programs to include a review of a corporation’s policy and procedures for personal device and ephemeral messaging application uses. Our speakers will discuss relevant developments at both federal agencies, assess the current and future legal exposure for regulated entities, and suggest practices and procedures that can improve compliance and minimize risk.

Speakers' Biographies

Hayley Trahan-Liptak

Hayley Trahan-Liptak is a partner in the Investigations, Enforcement, and White Collar practice group of K&L Gates LLP, practicing in the firm's Boston, MA office. Her practice focuses on government investigations, regulatory enforcement actions, internal investigations, white-collar defense, and complex civil litigation matters. Hayley represents public companies, individuals, investment advisors, and financial institutions before various state and federal regulators and enforcement authorities, including the Securities and Exchange Commission, the U.S. Department of Justice), and the Financial Industry Regulatory Authority.

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Christopher F. Warner

Chris Warner is an associate in the Investigations, Enforcement, and White Collar practice group. His practice focuses on government investigations, regulatory enforcement actions, internal investigations, white-collar defense, and complex civil litigation matters.

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