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No doubt you anticipate more headaches should your firm permit staff to use text messages for work but you may be fighting in vain against ...
A peer shares the firm's lexicon used to flag e-mails that deserve to be observed by compliance
The NFA is warning you not to fall for fraudulent phishing emails purportedly coming from the SRO. The NFA has even provided an example of ...
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 ...
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