FINRA Examined Your Firm But Did It Check Your Email? What Financial Businesses Get Wrong About Electronic Communications Compliance

The exam notice arrives, and the first thing most broker-dealers and registered investment advisers do is pull together account documentation, trading records, and supervisory procedures. The last thing most of them think about is email. That’s a problem. Because increasingly, email is exactly where FINRA examiners are looking. Electronic communications compliance has been on FINRA’s […]