We offer clients pragmatic advice that carefully balances risk with business imperatives.
Assisted large financial services company in developing appropriate controls related to ensuring compliance with U.S. SEC and FINRA regulations pertaining to electronic communications retention and supervision.
Advised large financial services company regarding the selection and implementation of a suitable replacement vendor for retention and supervision of electronic correspondence of its affiliated broker-dealers.
Completed review of internal controls and procedures at large financial services company relating to compliance with broker-dealer retention and supervision rules for electronic correspondence following a FINRA settlement.
Advised company and outside counsel in an internal investigation of a large financial services company relating to the significant failures of an electronic document retention system (Zantaz EAS). Oversaw the subsequent remediation of the EAS environment which included the re-indexing of over 750 million messages and a subsequent disposition event.
Assisted one of the ten largest global law firms in the development and implementation of an outsourced electronic discovery strategy including the coordination and implementation of a co-location data center solution, private cloud contract negotiation, and selection of third-party support services partners. Also assisted the firm in developing best practices for large-scale document review.
Assisted a large credit card company and commercial bank to re- implement a firm wide email archiving solution for approximately 40,000 users.
Assisted a large global media conglomerate to identify and implement a technology solution to archive, audit, and classify critical electronic business records including email, Instant Messaging (IM), and VOIP.
Retained to advise and testify as a technical expert by the U.S. Attorney’s Office of the Southern District of New York in connection with a stock options backdating prosecution.
Assisted Independent Monitor appointed in connection with a FINRA settlement in its review of discovery processes and procedures at a large financial services institution.