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Besides editing your keyword search list, you can target specific topics, e.g., sampling e-mails sent by portfolio managers and traders or the names of different ...
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 ...
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 ...
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