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348 keywords and phrases to consider using
Be sure to change keywords based on events
Advisers switch their e-mail archiving vendor for one reason or another
Sanctioning of CCO illustrates perils facing small firm CCOs
PCI failed to disclose the cyber breach to its customers in a timely manner
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 Commission’s new Form ...
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 you to ...
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 ...
Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly released 2018 Electronic ...
Anyone with internet access has gotten them – advertisements via e-mail.   Most modern business enterprises turn to e-mail to advertise, including advisers, so you ...
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 ...
A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails.
A significantly flawed e-mail review system at Raymond James Financial Services allowed millions of e-mails over a nine-year period to evade “meaningful” review, according to ...
Multiple compliance backstops were in place at hedge fund adviser Brahman Capital Corp. to safeguard confidential information. Despite the firm’s written P&Ps, code of ethics, ...
Paritosh Gupta (“Gupta”), a former senior Brahman research analyst, transmitted Brahman’s confidential information to Nehal Chopra (“Chopra”), whom Gupta first met in 2006 and subsequently ...
This is the SEC's guide to sharing exam and other documents with OCIE via the agency's encrypted e-mail system.
The Registered Representative used her personal email to conduct business of Loop Capital involving a finance transaction. Loop Capital’s policies required employees to use Loop ...
A peer shares the firm's lexicon used to flag e-mails that deserve to be observed by compliance
At least in theory, supervisors are your front line of defense, the managers on the ground who monitor daily activities; while compliance writes policies and ...
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you can also understand ...
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