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Email (51)
Your search for Email returned 51 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...
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.
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.
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.
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...
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...
2/03/2015 | Content area: Investment Adviser | Private Fund
Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like a never-endi...
1/26/2015 | Content area: Investment Adviser
A peer contributes this PPT file, which is a presentation designed to help staff prevent e-mail wire fraud.
9/18/2014 | Content area: Investment Adviser
Odds are that within three feet of where you are lies your cell phone or other mobile device. These tools have become ubiquitous. It’s tempting to use...
6/02/2014 | Content area: Investment Adviser
Many advisers that have recently been examined tell IA Watch that SEC examiners never even requested e-mail records. But sources tell us if they do, i...
3/24/2014 | Content area: Investment Adviser
In the words of Jeffrey Squires, the SEC has been purposefully obscure in defining what an adviser's responsibilities are when it comes to monitoring ...
1/06/2014 | Content area: Investment Adviser
Recent enforcement actions show again how firms can run into trouble with e-mails and other electronic communications. Take the case of Frank Lorenzo,...
11/26/2013 | Content area: Investment Adviser
The staff’s view is that funds may electronically deliver to their shareholders the required “written statement” describing the sources of their distr...
10/07/2013 | Content area: Investment Adviser
Contemplate adding this strategy to your compliance quiver: when you find a violation of your firm's code of ethics, go back and check the employee's ...
8/19/2013 | Content area: Investment Adviser
Counter those yawns and sighs during staff compliance training about your electronic policies and procedures by giving the audience a glimpse of what ...
8/12/2013 | Content area: Investment Adviser
The SEC expects some monitoring of firm e-mails but the structure of your inquiry depends on you. What's clear is your peers are spending up to five h...
2/25/2013 | Content area: Investment Adviser
Don't neglect to add e-mail aliases used by business staff into your reviews, move archived e-mails to more permanent storage and review default setti...


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