The SEC also may request written information concerning the firm's approach to electronicmessaging.
2
Department of Internal Affairs electronicmessaging compliance manager Toni Demetriou explains what went wrong.
3
For 2018, these hot topics include cyber security, social media, electronicmessaging and disaster recovery.
4
Therefore, a firm must have written policies and procedures addressing the transmittal of sensitive information over electronicmessaging.
5
A number of parties are working on initiatives to improve loan settlement times, including developing a standard electronicmessaging system for the asset class.
6
The policy must also identify all persons responsible for overseeing the firm's electronicmessaging and a brief explanation of each person's role, if necessary.
7
Electronicmessaging falls under Rule 204-2 of the Investment Advisers Act(here).