Caught in the web: Pitfalls of electronic communications

E. J. Yerzak
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E. J. Yerzak: Managing Director, Salus GRC, USA

Cyber Security: A Peer-Reviewed Journal, 2024, vol. 7, issue 3, 273-278

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.

Keywords: electronic communications; recordkeeping; off-channel communications; monitoring; cybersecurity; messaging (search for similar items in EconPapers)
JEL-codes: M15 (search for similar items in EconPapers)
Date: 2024
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Persistent link: https://EconPapers.repec.org/RePEc:aza:csj000:y:2024:v:7:i:3:p:273-278

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