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From Inquiry to Response: What to Do When Regulators Come Knocking for Text Messages

Financial institutions have been hit with billions of dollars’ worth of fines in the past couple of years for failing to preserve business text messages, and Reuters recently reported that the SEC had expanded its probe into Wall Street's use of tools like WhatsApp and Signal. Whether they’re from the SEC, FINRA or CFTC, federal investigators will dig deep when determining if official communications have taken place off normal business channels. Lauren Tringali and Brian Corbin of QuisLex say be prepared to show your work.

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