Is the SEC Coming for Your Texts? SEC’s New Enforcement Director Telegraphs a Warning to Registrants About Improper Use of Personal Devices for Business-Related Communications
Data Matters
OCTOBER 13, 2021
Firms should review their policies, procedures, and communication monitoring to ensure that employees are not engaging in business-related communications outside of the firm’s official channels and in a manner that the firm is unable to capture and preserve if required. conducting renewed employee training on the above requirements.
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