Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Email (75)
Your search for Email returned 75 results.
Sorted by Date

7/18/2019 | Content area: Investment Adviser
Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commis...
2/14/2019 | Content area: Broker-Dealer
It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...
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.    ...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US