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Email (73)
Your search for Email returned 73 results.
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12/06/2018 | Content area: Investment Adviser
The view of one CCO about the effectiveness of e-mail reviews isn’t an outlier.   “My personal opinion is that routine e-mail reviews are not worth do...
11/21/2018 | Content area: Investment Adviser
Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly ...
11/01/2018 | Content area: Investment Adviser
Anyone with internet access has gotten them – advertisements via e-mail.   Most modern business enterprises turn to e-mail to advertise, including adv...
3/15/2018 | Content area: Broker-Dealer
The amount of FINRA fines, sanctions, cases, and industry bars were all down in 2017 when compared with the prior year, according to the recent releas...
1/10/2018 | Content area: Investment Adviser
A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails.
1/04/2018 | Content area: Broker-Dealer
A significantly flawed e-mail review system at Raymond James Financial Services allowed millions of e-mails over a nine-year period to evade “meaningf...
12/07/2017 | Content area: Private Fund
Multiple compliance backstops were in place at hedge fund adviser Brahman Capital Corp. to safeguard confidential information. Despite the firm’s writ...
12/05/2017 | Content area: Private Fund
Paritosh Gupta (“Gupta”), a former senior Brahman research analyst, transmitted Brahman’s confidential information to Nehal Chopra (“Chopra”), whom Gu...
10/24/2017 | Content area: Investment Adviser
This is the SEC's guide to sharing exam and other documents with OCIE via the agency's encrypted e-mail system.
10/19/2017 | Content area: Broker-Dealer
The Registered Representative used her personal email to conduct business of Loop Capital involving a finance transaction. Loop Capital’s policies req...
8/31/2017 | Content area: Investment Adviser
It’s doubtful that you’d place e-mail reviews at the top of your list of favorite tasks to do but it’s certainly one that must be done.   One CCO tell...
8/09/2017 | Content area: Investment Adviser
A peer shares the firm's lexicon used to flag e-mails that deserve to be observed by compliance.
7/20/2017 | Content area: Broker-Dealer
At least in theory, supervisors are your front line of defense, the managers on the ground who monitor daily activities; while compliance writes polic...
6/29/2017 | Content area: Investment Adviser
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you c...
4/17/2017 | Content area: Private Fund
Meadlin disseminated dozens of emails to prospective investors and clients in which he inflated Hyaline's assets under management (AUM), claiming that...
5/12/2016 | Content area: Broker-Dealer
Stephens Inc. will cease distributing firm-wide internal “flash” e-mails sent by its research analysts to trading personnel conveying information abou...
4/12/2016 | Content area: Broker-Dealer
CSC used email addresses other than those with the Firm’s domain name—@craigscottcapital.com—to electronically receive more than 4,000 faxes from cust...
3/24/2016 | Content area: Broker-Dealer
For regulators, few things are as important to investor protection as maintaining the integrity of electronic communications and business records.    ...
2/29/2016 | Content area: Broker-Dealer
Santos shared confidential information pertaining to at least 14 of his customers’ accounts with an outside third party. Using a personal email addres...
12/14/2015 | Content area: Investment Adviser
On May 11, 2015, the SEC filed a subpoena enforcement action against Virginia-based FX & Beyond Corporation and its president, Mr. Karroum. After a h...


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