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Caught in the web: Pitfalls of electronic communications

Author

Listed:
  • Yerzak, E. J.

    (Managing Director, Salus GRC, USA)

Abstract

This paper explores the regulatory interest in and examination focus on electronic messaging at financial institutions. The regulatory landscape for recordkeeping at broker-dealers and registered investment advisers is discussed in the context of enforcement actions for alleged recordkeeping failures. Practical considerations are offered to enable compliance professionals to monitor and supervise electronic messaging.

Suggested Citation

  • Yerzak, E. J., 2024. "Caught in the web: Pitfalls of electronic communications," Cyber Security: A Peer-Reviewed Journal, Henry Stewart Publications, vol. 7(3), pages 273-278, March.
    • Handle: RePEc:aza:csj000:y:2024:v:7:i:3:p:273-278
    as

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    More about this item

    Keywords

    electronic communications; recordkeeping; off-channel communications; monitoring; cybersecurity; messaging;
    All these keywords.

    JEL classification:

    • M15 - Business Administration and Business Economics; Marketing; Accounting; Personnel Economics - - Business Administration - - - IT Management

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