The Importance of E-Mail Controls

Dec. 2008


This season while you are making a list and checking it twice, remember to also review
your current electronic communications controls!

With new and emerging communication technologies evolving at record pace, users are
capable of communicating with each other around the world, whenever and wherever
they so choose. Because of the ability to e-mail, text, chat and blog from personal devices
such as Blackberries and iPhones, securities regulators are requiring firms to take an
active role in overseeing and retaining records of communications made between their
representatives and clientele.


To read the full PDF article, click here.

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