Don’t delete your emails
OPEN PLATFORM: EMAIL AND IM COMPLIANCE
Since mid-2003, US-based buy- and sell-side firms have had to comply with the Securities and Exchange Commission’s 17a-4 rule requiring firms to archive securities-related correspondence in the form of emails and instant messages. Since then, a number of large sell-side institutions including Goldman Sachs, Citigroup, Salomon Smith Barney and Morgan Stanley, have been fined by the US regulator for not retaining the appropriate data for auditing purposes. Laura Dubois outlines how Seattle
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