A 60-minute webinar presented by Core Compliance & Legal Services and sponsored by LiveOffice.
Once You Archive Email, What's Next?
When it comes to email compliance, preparedness is key.
View this crash course in email compliance, and find out what else you need to know to protect yourself and your business.
You'll learn:
- What you are required to do after you capture electronic data
- What SEC and FINRA rules apply to email
- What types of communications require email supervision and more
MasterSnacks Cryptocurrency: Operational and Internal Considerations for Comp...Citrin Cooperman
Any organization holding or transacting in Bitcoin or other cryptocurrencies must make efforts to secure those digital assets by performing a full assessment of the risks associated with them. In this session, we covered valuable information on operating in the brave new world of Bitcoin and other digital assets. Key takeaways included:
Cryptocurrency basics
An overview of internal controls and environments
Wallets and separation of duties
Best Practices Regarding Technology (Series: Legal Ethics - Best Practices)Financial Poise
Technology is rapidly changing the way lawyers provide services. This is so especially in light of the Covid-19 pandemic, which creates new and different ethical challenges to confidentiality, cyber fraud and securing data, marketing and advertising concerns, and client communications. This webinar will address a myriad of new problems lawyers are facing and some practical suggestions and solutions that arise out of the changing manner and pace of the practice of law. This webinar will also cover several ABA Model Rules of Professional Conduct.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/best-practices-regarding-technology-2021/
A Step By Step Guide To Growing A Technology Business The Legal Aspects O...lisaabe
Whether you are an entrepreneur or an investor, this presentation sets out the legal and business framework on How to Grow Your Technology Business into a profitable success!
NICSA Webinar | AML Enhanced Customer Due Diligence - "Beneficial Owner Rule"NICSA
The wait is finally over, after years of waiting we now have the final Customer Due Diligence Rule. This new rule will require financial institutions to enhance their AML programs to further scrutinize entity accounts and their beneficial owners. The panel will detail key requirements and dates while comparing the CDD rule to the EU 3rd directive.
MasterSnacks Cryptocurrency: Operational and Internal Considerations for Comp...Citrin Cooperman
Any organization holding or transacting in Bitcoin or other cryptocurrencies must make efforts to secure those digital assets by performing a full assessment of the risks associated with them. In this session, we covered valuable information on operating in the brave new world of Bitcoin and other digital assets. Key takeaways included:
Cryptocurrency basics
An overview of internal controls and environments
Wallets and separation of duties
Best Practices Regarding Technology (Series: Legal Ethics - Best Practices)Financial Poise
Technology is rapidly changing the way lawyers provide services. This is so especially in light of the Covid-19 pandemic, which creates new and different ethical challenges to confidentiality, cyber fraud and securing data, marketing and advertising concerns, and client communications. This webinar will address a myriad of new problems lawyers are facing and some practical suggestions and solutions that arise out of the changing manner and pace of the practice of law. This webinar will also cover several ABA Model Rules of Professional Conduct.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/best-practices-regarding-technology-2021/
A Step By Step Guide To Growing A Technology Business The Legal Aspects O...lisaabe
Whether you are an entrepreneur or an investor, this presentation sets out the legal and business framework on How to Grow Your Technology Business into a profitable success!
NICSA Webinar | AML Enhanced Customer Due Diligence - "Beneficial Owner Rule"NICSA
The wait is finally over, after years of waiting we now have the final Customer Due Diligence Rule. This new rule will require financial institutions to enhance their AML programs to further scrutinize entity accounts and their beneficial owners. The panel will detail key requirements and dates while comparing the CDD rule to the EU 3rd directive.
TRUST. IP and Technology Update - IT Audit Toolkit for CIOs and General Couns...Jan Lindberg
Planning the right strategy to survive third-party licence audits is essential to minimizing your expenses that arise out of third-party audits. In this article, we aim to provide experiences from recent IT disputes from the customer’s or target company’s perspective, as well as tools for handling different technology licensing related breach of contract and copyright infringement claims after licence audits.
This tutorial will discuss key software architecture concepts allowing researchers and practitioners to move from software development as a one-ofa-kind endeavor to software development as a system of modules that can be widely used in highly adaptable ways. Participants will understand how the use of software architecture models avoids difficulty by providing robust and flexible systems, applies well-established methodologies, improves user experience and, warrants that the final product satisfies all the requirements (functional and non functional). The attendees will better understand how to apply software patterns as part of their software development methodology. They will engage in exercises that apply software patterns at architectural and design levels to create an Intelligent Tutor System (ITS) with an associated widespread use of components. And, understand how software architecture can improve ITS development to a point where one could be sure that the product would work, as planned, in uncontrolled and non-standardized environments and be able to be incrementally improved to be adapted with new technologies. The attendee will become familiar with the standard vocabularies of patterns in order to apply it as a way of shared communication inside the team and outside with the experts and consultants. This will improve attendees’ abilities to express and transfer knowledge that can enrich the development and improvement of systems.
Alice is an innovative 3D programming environment that makes it easy to create an animation for telling a story, playing an interactive game, or a video to share on the web. Alice is a freely available tool designed to be a student's first exposure to object-oriented programming. It allows people to learn fundamental programming concepts in the context of creating animated movies and simple video games. In Alice, 3-D objects (e.g., people, animals, and vehicles) populate a virtual world and students create a program to animate the objects. In Alice we drag and drop graphic tiles to create a program, where the instructions correspond to standard statements in a production oriented programming language, such as Java, C++, and C#. Alice allows us to immediately see how our animation programs run.
Considering that the human-element as crucial in designing and implementing interactive intelligent systems, this tutorial provides a description and hands-on demonstration on detection of affective states and a description of devices, methodologies and data processing, as well as their impact in instructional design. The information that a computer senses in order to automate the detection of affective states, includes an extensive set of data, it could ranges from brain-waves signals and biofeedback readings from face-based or gesture emotion recognition and posture or pressure sensing. The work presented in this tutorial, is not about the development of the algorithms or hardware that make this works, our concerns are about the encapsulation of preexisting systems (we are actually using all of them) that implements those algorithms and uses these hardware to improve Learning.
TRUST. IP and Technology Update - IT Audit Toolkit for CIOs and General Couns...Jan Lindberg
Planning the right strategy to survive third-party licence audits is essential to minimizing your expenses that arise out of third-party audits. In this article, we aim to provide experiences from recent IT disputes from the customer’s or target company’s perspective, as well as tools for handling different technology licensing related breach of contract and copyright infringement claims after licence audits.
This tutorial will discuss key software architecture concepts allowing researchers and practitioners to move from software development as a one-ofa-kind endeavor to software development as a system of modules that can be widely used in highly adaptable ways. Participants will understand how the use of software architecture models avoids difficulty by providing robust and flexible systems, applies well-established methodologies, improves user experience and, warrants that the final product satisfies all the requirements (functional and non functional). The attendees will better understand how to apply software patterns as part of their software development methodology. They will engage in exercises that apply software patterns at architectural and design levels to create an Intelligent Tutor System (ITS) with an associated widespread use of components. And, understand how software architecture can improve ITS development to a point where one could be sure that the product would work, as planned, in uncontrolled and non-standardized environments and be able to be incrementally improved to be adapted with new technologies. The attendee will become familiar with the standard vocabularies of patterns in order to apply it as a way of shared communication inside the team and outside with the experts and consultants. This will improve attendees’ abilities to express and transfer knowledge that can enrich the development and improvement of systems.
Alice is an innovative 3D programming environment that makes it easy to create an animation for telling a story, playing an interactive game, or a video to share on the web. Alice is a freely available tool designed to be a student's first exposure to object-oriented programming. It allows people to learn fundamental programming concepts in the context of creating animated movies and simple video games. In Alice, 3-D objects (e.g., people, animals, and vehicles) populate a virtual world and students create a program to animate the objects. In Alice we drag and drop graphic tiles to create a program, where the instructions correspond to standard statements in a production oriented programming language, such as Java, C++, and C#. Alice allows us to immediately see how our animation programs run.
Considering that the human-element as crucial in designing and implementing interactive intelligent systems, this tutorial provides a description and hands-on demonstration on detection of affective states and a description of devices, methodologies and data processing, as well as their impact in instructional design. The information that a computer senses in order to automate the detection of affective states, includes an extensive set of data, it could ranges from brain-waves signals and biofeedback readings from face-based or gesture emotion recognition and posture or pressure sensing. The work presented in this tutorial, is not about the development of the algorithms or hardware that make this works, our concerns are about the encapsulation of preexisting systems (we are actually using all of them) that implements those algorithms and uses these hardware to improve Learning.
Dodd-Frank Compliance and Technology Summer Meeting 2013Jeffrey C.Y. Li
Atlas Communications Technology recently co-sponsored the Dodd-Frank Compliance and Technology Summer Meeting. The presentation was an introduction to the complexities of the Dodd-Frank Wall Street Reform and Consumer Protection Act, what firms need to do to bring themselves into compliance, and the technology that can help enterprises meet the stringent demands of the act.
For more information about this conference, or to learn about our Fall meeting in September featuring one of the authors of the act, Congressman Jim Himes, please call 1-855-Dodd Frank (1-855-363-3372) for any questions, or if you wish to talk to one of our presenters today to talk about taking the next steps towards Dodd-Frank Compliance
Atlas Presentation 2013 07-09 dodd-frank summer meeting v1-0 (for online)
60-minute webinar presented by Core Compliance & Legal Services and sponsored by LiveOffice.
View this third and final crash course in email compliance, and find out how to conduct a mock audit to ensure you are prepared when the auditor knocks.
You’ll learn:
- What is required in your policies and procedures
- What you should focus on during compliance reviews
- What is required to properly store your messages and more
Regulatory compliance is a very challenging task for bankers. Digital banking adds to the complexity . Banks need to go beyond regulatory compliance to be safe and successful in digital banking , as regulation is always a caching up game. Police cannot outsmart thief.
Update Your CCPA Plan with Practical Insights into the Proposed Regulations, ...TrustArc
Major developments related to the California Consumer Privacy Act (CCPA) were announced at the end of last week. On Thursday, October 10th California Attorney General Xavier Becerra released proposed regulations under the CCPA. The proposed regulations are intended to operationalize the CCPA and provide practical guidance to consumers and businesses subject to the law. California Governor Gavin Newsom followed with a legislative update on Friday, October 11th in which he announced that he had signed 6 privacy bills into law, including 5 amending the CCPA and a new law related to the CCPA requiring data broker registration.
View this webinar to gain valuable insights into:
-A review and analysis of the proposed CCPA implementing regulations, related amendments and the impact to your planning
-Tips and tools to operationalize complying with the CCPA, including - the four types of consumer notices, including the Do Not Sell notice; consumer privacy requests, security considerations and verification; training and record-keeping; special rules for personal information of minors; requirements for financial incentives including calculating data value, practices for employment data and B2B transactions; and much more
-Insights into what to expect after the public comment period closes on December 6, 2019
Bournemouth- Essential 6-monthly Finance Directors' Update - June 2017 PKF Francis Clark
Our six-monthly Finance Seminars provide an overview of the most important technical developments in financial reporting and taxation. The seminars address the key topical financial matters, the opportunities they present, how they affect your business and the pitfalls you can avoid.
For our June round of seminars, 'the technology of change' will be a theme throughout the sessions. The pace of technological change is disruptive to established businesses and we will highlight the impact of technology on the FD's agenda.
File Sharing Use Cases in Financial ServicesBlackBerry
Financial services institutions need to meet high standards of security, particularly when collaborating with external partners, in order to comply with federal regulations and protect their customers. However, security protocols designed to protect sensitive information can actually hinder workplace productivity. This presentation demonstrates different ways that financial institutions were able to get back to business using BlackBerry Workspaces, the secure file sync & share solution.
3. Empower Informed Decisions: Data-Driven NBFC Software for Smarter Lendingfinstasoftware123
Non-Banking Financial Companies (NBFCs) are the backbone of the Indian financial services. They are great enablers of financial inclusion as they support the growth aspirations of industries and people even in the remote corners of the country. FiNSTA, a flagship product of Kapil IT, is a cutting-edge NBFC software that helps NBFCs to minimize their operational risks and achieve optimal efficiency.
3. Empower Informed Decisions: Data-Driven NBFC Software for Smarter Lendingfinstasoftware123
Non-Banking Financial Companies (NBFCs) are the backbone of the Indian financial services. They are great enablers of financial inclusion as they support the growth aspirations of industries and people even in the remote corners of the country. FiNSTA, a flagship product of Kapil IT, is a cutting-edge NBFC software that helps NBFCs to minimize their operational risks and achieve optimal efficiency.
Reducing the Risk of Fraud through Treasury TechnologyElena Oliveira
Attend our webinar session to understand the different areas where the risk of fraud is present and learn how you can improve controls and ensure your processes are secure.
Building & Running A Successful Identity ProgramDan Houser
Two hour presentation on steps to build a successful identity access management program, including stakeholder buyin, strategy, roadmaps, selling I&AM, foundational components of I&AM, etc.
Similar to LiveOffice Email Archiving & Compliance 201 (20)
Dev Dives: Train smarter, not harder – active learning and UiPath LLMs for do...UiPathCommunity
💥 Speed, accuracy, and scaling – discover the superpowers of GenAI in action with UiPath Document Understanding and Communications Mining™:
See how to accelerate model training and optimize model performance with active learning
Learn about the latest enhancements to out-of-the-box document processing – with little to no training required
Get an exclusive demo of the new family of UiPath LLMs – GenAI models specialized for processing different types of documents and messages
This is a hands-on session specifically designed for automation developers and AI enthusiasts seeking to enhance their knowledge in leveraging the latest intelligent document processing capabilities offered by UiPath.
Speakers:
👨🏫 Andras Palfi, Senior Product Manager, UiPath
👩🏫 Lenka Dulovicova, Product Program Manager, UiPath
A tale of scale & speed: How the US Navy is enabling software delivery from l...sonjaschweigert1
Rapid and secure feature delivery is a goal across every application team and every branch of the DoD. The Navy’s DevSecOps platform, Party Barge, has achieved:
- Reduction in onboarding time from 5 weeks to 1 day
- Improved developer experience and productivity through actionable findings and reduction of false positives
- Maintenance of superior security standards and inherent policy enforcement with Authorization to Operate (ATO)
Development teams can ship efficiently and ensure applications are cyber ready for Navy Authorizing Officials (AOs). In this webinar, Sigma Defense and Anchore will give attendees a look behind the scenes and demo secure pipeline automation and security artifacts that speed up application ATO and time to production.
We will cover:
- How to remove silos in DevSecOps
- How to build efficient development pipeline roles and component templates
- How to deliver security artifacts that matter for ATO’s (SBOMs, vulnerability reports, and policy evidence)
- How to streamline operations with automated policy checks on container images
Generative AI Deep Dive: Advancing from Proof of Concept to ProductionAggregage
Join Maher Hanafi, VP of Engineering at Betterworks, in this new session where he'll share a practical framework to transform Gen AI prototypes into impactful products! He'll delve into the complexities of data collection and management, model selection and optimization, and ensuring security, scalability, and responsible use.
Welocme to ViralQR, your best QR code generator.ViralQR
Welcome to ViralQR, your best QR code generator available on the market!
At ViralQR, we design static and dynamic QR codes. Our mission is to make business operations easier and customer engagement more powerful through the use of QR technology. Be it a small-scale business or a huge enterprise, our easy-to-use platform provides multiple choices that can be tailored according to your company's branding and marketing strategies.
Our Vision
We are here to make the process of creating QR codes easy and smooth, thus enhancing customer interaction and making business more fluid. We very strongly believe in the ability of QR codes to change the world for businesses in their interaction with customers and are set on making that technology accessible and usable far and wide.
Our Achievements
Ever since its inception, we have successfully served many clients by offering QR codes in their marketing, service delivery, and collection of feedback across various industries. Our platform has been recognized for its ease of use and amazing features, which helped a business to make QR codes.
Our Services
At ViralQR, here is a comprehensive suite of services that caters to your very needs:
Static QR Codes: Create free static QR codes. These QR codes are able to store significant information such as URLs, vCards, plain text, emails and SMS, Wi-Fi credentials, and Bitcoin addresses.
Dynamic QR codes: These also have all the advanced features but are subscription-based. They can directly link to PDF files, images, micro-landing pages, social accounts, review forms, business pages, and applications. In addition, they can be branded with CTAs, frames, patterns, colors, and logos to enhance your branding.
Pricing and Packages
Additionally, there is a 14-day free offer to ViralQR, which is an exceptional opportunity for new users to take a feel of this platform. One can easily subscribe from there and experience the full dynamic of using QR codes. The subscription plans are not only meant for business; they are priced very flexibly so that literally every business could afford to benefit from our service.
Why choose us?
ViralQR will provide services for marketing, advertising, catering, retail, and the like. The QR codes can be posted on fliers, packaging, merchandise, and banners, as well as to substitute for cash and cards in a restaurant or coffee shop. With QR codes integrated into your business, improve customer engagement and streamline operations.
Comprehensive Analytics
Subscribers of ViralQR receive detailed analytics and tracking tools in light of having a view of the core values of QR code performance. Our analytics dashboard shows aggregate views and unique views, as well as detailed information about each impression, including time, device, browser, and estimated location by city and country.
So, thank you for choosing ViralQR; we have an offer of nothing but the best in terms of QR code services to meet business diversity!
Elevating Tactical DDD Patterns Through Object CalisthenicsDorra BARTAGUIZ
After immersing yourself in the blue book and its red counterpart, attending DDD-focused conferences, and applying tactical patterns, you're left with a crucial question: How do I ensure my design is effective? Tactical patterns within Domain-Driven Design (DDD) serve as guiding principles for creating clear and manageable domain models. However, achieving success with these patterns requires additional guidance. Interestingly, we've observed that a set of constraints initially designed for training purposes remarkably aligns with effective pattern implementation, offering a more ‘mechanical’ approach. Let's explore together how Object Calisthenics can elevate the design of your tactical DDD patterns, offering concrete help for those venturing into DDD for the first time!
Transcript: Selling digital books in 2024: Insights from industry leaders - T...BookNet Canada
The publishing industry has been selling digital audiobooks and ebooks for over a decade and has found its groove. What’s changed? What has stayed the same? Where do we go from here? Join a group of leading sales peers from across the industry for a conversation about the lessons learned since the popularization of digital books, best practices, digital book supply chain management, and more.
Link to video recording: https://bnctechforum.ca/sessions/selling-digital-books-in-2024-insights-from-industry-leaders/
Presented by BookNet Canada on May 28, 2024, with support from the Department of Canadian Heritage.
Le nuove frontiere dell'AI nell'RPA con UiPath Autopilot™UiPathCommunity
In questo evento online gratuito, organizzato dalla Community Italiana di UiPath, potrai esplorare le nuove funzionalità di Autopilot, il tool che integra l'Intelligenza Artificiale nei processi di sviluppo e utilizzo delle Automazioni.
📕 Vedremo insieme alcuni esempi dell'utilizzo di Autopilot in diversi tool della Suite UiPath:
Autopilot per Studio Web
Autopilot per Studio
Autopilot per Apps
Clipboard AI
GenAI applicata alla Document Understanding
👨🏫👨💻 Speakers:
Stefano Negro, UiPath MVPx3, RPA Tech Lead @ BSP Consultant
Flavio Martinelli, UiPath MVP 2023, Technical Account Manager @UiPath
Andrei Tasca, RPA Solutions Team Lead @NTT Data
SAP Sapphire 2024 - ASUG301 building better apps with SAP Fiori.pdfPeter Spielvogel
Building better applications for business users with SAP Fiori.
• What is SAP Fiori and why it matters to you
• How a better user experience drives measurable business benefits
• How to get started with SAP Fiori today
• How SAP Fiori elements accelerates application development
• How SAP Build Code includes SAP Fiori tools and other generative artificial intelligence capabilities
• How SAP Fiori paves the way for using AI in SAP apps
Essentials of Automations: Optimizing FME Workflows with ParametersSafe Software
Are you looking to streamline your workflows and boost your projects’ efficiency? Do you find yourself searching for ways to add flexibility and control over your FME workflows? If so, you’re in the right place.
Join us for an insightful dive into the world of FME parameters, a critical element in optimizing workflow efficiency. This webinar marks the beginning of our three-part “Essentials of Automation” series. This first webinar is designed to equip you with the knowledge and skills to utilize parameters effectively: enhancing the flexibility, maintainability, and user control of your FME projects.
Here’s what you’ll gain:
- Essentials of FME Parameters: Understand the pivotal role of parameters, including Reader/Writer, Transformer, User, and FME Flow categories. Discover how they are the key to unlocking automation and optimization within your workflows.
- Practical Applications in FME Form: Delve into key user parameter types including choice, connections, and file URLs. Allow users to control how a workflow runs, making your workflows more reusable. Learn to import values and deliver the best user experience for your workflows while enhancing accuracy.
- Optimization Strategies in FME Flow: Explore the creation and strategic deployment of parameters in FME Flow, including the use of deployment and geometry parameters, to maximize workflow efficiency.
- Pro Tips for Success: Gain insights on parameterizing connections and leveraging new features like Conditional Visibility for clarity and simplicity.
We’ll wrap up with a glimpse into future webinars, followed by a Q&A session to address your specific questions surrounding this topic.
Don’t miss this opportunity to elevate your FME expertise and drive your projects to new heights of efficiency.
Essentials of Automations: Optimizing FME Workflows with Parameters
LiveOffice Email Archiving & Compliance 201
1.
2. Email Compliance 201
Managing Captured Data
Presented by
Core Compliance & Legal Services, Inc.
February 19, 2009
3. Introduction
• Why This Is Important
• Recap: “Electronic Communications 101:
Fundamentals of Regulatory Requirements”
• Where to Begin
• Risk Area Categories Requiring Email
Supervision
• Rules of Thumb on Managing Captured Email
3
3
4. Why This Is Important
• SEC and FINRA require investment advisers
and broker-dealers to supervise business
activities
• Fiduciary duty/best interest of the client
• Current regulatory climate/recent events
• Trend toward more disclosure, transparency
and due diligence
4
4
5. Recap: Regulatory Requirements
For Broker-Dealers
• Overview of FINRA rules
– FINRA Rule 3010 Supervision
– Securities Exchange Act 1934 17a-3 & 17a-4
– Notice to Members 07-59
• FINRA Expectations
– Flexible risk-based approach
– Content and target audience of the e-mail or IM
– “Legible, true, complete, and current” records
5
5
6. Recap: Regulatory Requirements
For Investment Advisers
• Overview of SEC Rules
– Investment Advisers Act Rule 204-2
• SEC Expectations
– Risk-based approach
– Have effective policies and procedures for
electronic communication
– Safeguard records from unauthorized access
or destruction
6
6
7. Where to Begin
• Review your firm’s customizable list of words
and phrases
• Recognize any areas of high risk which may
require special attention
– New hires
– Heightened supervision of personnel
– Communications between various departments
within the business unit
7
7
8. Risk Area Categories
Requiring Email Supervision
• Performance Advertising and Marketing
• Safeguarding Confidential Client Information
• Anti-Money Laundering
• Conflicts of Interest/Insider Trading
8
8
9. Performance Advertising and Marketing
• Investment Advisers Act of 1940 Rule 206(4)-1
Advertisements by Investment Advisers
– Prohibits fraudulent, deceptive, or manipulative
advertising practices
• FINRA Rule 2210 Communications with the
Public
– Prohibits false, exaggerated, unwarranted or
misleading statements or claims
9
9
10. Performance Advertising and Marketing
• Examples of what to look for:
– Emails from sales discussing performance
returns without disclosures or compliance
approval
– Inclusions of projections/predictions,
testimonials and charts/graphs
– References to any past specific
recommendations
– Balanced discussions of risk/reward
10
10
11. Safeguarding Confidential
Client Information
• Privacy of Consumer Financial Information
(Regulation S-P)
– Safeguarding confidential client information
– Mandates privacy measures of all financial
services firms
• State laws govern
– California SB1 Financial Information Privacy Act
11
11
12. Safeguarding Confidential
Client Information
• Examples of what to look for:
– Social Security/Driver’s License
Numbers/Birthdays
– Emailed completed New Account Forms
– Authorized recipients of sensitive and
confidential client information
– Client account information such as current
income, assets, and investments
12
12
13. Anti-Money Laundering
• Federal law requires financial institutions to
develop and implement an Anti-Money
Laundering (AML) Program which includes:
– Policies and procedures and internal controls
– Designation of an AML Officer
– Annual independent testing of AML compliance
– Ongoing employee training
13
13
14. Anti-Money Laundering
• Examples of What to Look For:
– Wire transfers information
– Emails to and/or from client services or new
accounts containing identifying information
– Discussions of transactions involving off-shore
or international accounts
14
14
15. Conflicts of Interest/Insider Trading
• Insider Trading and Securities Fraud Act of
1988
• Remember: Investment Advisers and Broker-
Dealers are required to act in best interest of
the client
15
15
16. Conflicts of Interest/Insider Trading
• Examples of what to look for:
– Emails between the research analysts and the
trading desk
– Emails making recommendations and
compensation arrangements for the benefit of
the adviser/representative
– Emails containing sensitive confidential
information sent from the firm to a third party
outside the firm
16
16
17. Rules of Thumb on
Managing Captured Email
• Spot and troubleshoot any loopholes
– Too little data captured? Too much?
• Ensure that your list of words and phrases fits
the nature of the business (e.g., firm size,
business activities) and keep the list
confidential!
• Verify that escalation procedures are being
followed
• Test the adequacy and effectiveness of back-
up tapes/hard drives
17
17
18. Rules of Thumb on
Managing Captured Email
• Document the review—merely
capturing/opening email is not enough!
• Keep your email supervision system up-to-
date and in compliance with the latest
regulatory requirements
• Devise a system to delegate and supervise
email review if needed—keep in mind the
supervisor maintains ultimate responsibility!
• Take advantage of your third-party service
provider for guidance
18
18
19. Questions?
• Please contact us if you have any
additional questions
– Core Compliance & Legal Services, Inc.
Tel: (619) 278-0020
Email: christina.rovira@corecls.com
Website: www.corecls.com
19
19
20. Email Compliance 201
R. Anthony Seyboth
2.19.09
No Hardware No Software No Waiting
www.liveoffice.com Slide 20
21. Overview: Experience
The leading provider of email compliance solutions
Who We Are What We Do Who We Serve
$22M in revenue Archiving 20K successful audits
Founded in 1998 Compliance 99% client retention
Experienced team Discovery Fortune 100 clients
100+ employees Continuity Financial svcs focused
Profitable Hosting 10,000 clients
No Hardware No Software No Waiting
www.liveoffice.com Slide 21
22. LiveOffice AdvisorMail Difference
• Automatically captures all sent and received messages
Archive • Offers unlimited storage & retention
• Protects messages in redundant data centers
• Scans all messages for keywords & phrases
• Provides random sampling of messages for rapid review
Review • Comprehensive reporting features to satisfy
requirements
• Complies with state & federal requirements
(SEC/FINRA/SRO)
Comply • Offers end-to-end audit support
• Provides peace of mind having passed 20K audits
No Hardware No Software No Waiting
www.liveoffice.com Slide 22
23. LiveOffice Difference
Meet
Requirements Archive Review Comply
Trust a 10,000+ Clients
Proven
Leader
Worry Less Unlimited Storage, Guaranteed
with Our Deployed in 5 Days, Guaranteed
Guarantees 99.99% Uptime, Guaranteed
No Hardware No Software No Waiting
www.liveoffice.com Slide 23
24. Thank You!
Meet
Trust Guaranteed
Requirements
R. Anthony Seyboth
Director, Compliance & Litigation Services
800.374.2032 X 117
anthony.seyboth@liveoffice.com
No Hardware No Software No Waiting
www.liveoffice.com Slide 24