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Results for: Financial services

  • Amy Hinzmann
    by Amy Hinzmann
    March 30, 2012

    It’s No Secret: New Regulations Prompt Confidentiality Concerns

    Panels at SIFMA Compliance & Legal Society’s Annual Seminar discussed Dodd-Frank and its wide-reaching impact on the financial services industry. While they covered a myriad discrete subjects, the consensus is clear: Dodd-Frank has empowered existing regulatory agencies while creating new agencies to which the financial services industry is answerable, imposing an even heavier burden on a sector already stretched thin by stringent regulatory requirements. 

  • Amy Hinzmann
    by Amy Hinzmann
    March 23, 2012

    Financial Services Industry Weighs Rewards, Risk of Automated Review

    The word on the street is that the age of automation has arrived for document review. This presents unique challenges for the financial services industry. There was a consensus among the panel I moderated at LegalTech 2012 that a vendor must take certain steps to ease our more cautious clients into the automated review process. These steps include […]

  • Amy Hinzmann
    by Amy Hinzmann
    July 5, 2011

    Did you hear about the Rajaratnams?

    The critical role of audio evidence in the Galleon trial and CFTC prosecution highlights a new avenue of potential risk for many in the financial services industry. Amy Hinzmann discusses items to consider when preparing for regulatory requests for audio recordings.

  • Amy Hinzmann
    by Amy Hinzmann
    December 29, 2010

    Increased scrutiny in the financial services industry and how to prepare for it.

    Amy discusses rulemaking pursuant to Dodd-Frank in 2011 and the creation of an effective process to allow companies to execute the discovery process quickly and cost effectively.

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