Email and Document Retention for Investment Advisers

James J. Eccleston Jeffrey M. Gershon Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. E-mail And Document Retention For Investment Advisers

Why Care About E-mail Compliance? ,[object Object],[object Object],[object Object],[object Object]

Examinations ,[object Object],[object Object],[object Object]

Examinations ,[object Object],[object Object],[object Object],[object Object]

Examinations ,[object Object],[object Object],[object Object],[object Object],[object Object]

Examinations ,[object Object],[object Object]

Compliance ,[object Object],[object Object],[object Object],[object Object],[object Object]

Compliance ,[object Object],[object Object],[object Object],[object Object]

Compliance Need system in place, requiring (contd.): ,[object Object],[object Object],[object Object],[object Object]

Compliance (Whichever Retention System) ,[object Object],[object Object],[object Object],[object Object],[object Object]

Compliance Policies and practices should include (contd.): ,[object Object],[object Object]

Compliance Types of E-mail advisers must maintain (contd.) : ,[object Object],[object Object],[object Object]

Compliance Types of E-mail advisers must maintain (contd.) : ,[object Object],[object Object]

Compliance ,[object Object],[object Object]

Compliance ,[object Object],[object Object],[object Object]

Next Frontier ,[object Object],[object Object],[object Object],[object Object]

Thank You James J. Eccleston [email_address] Jeffrey M. Gershon [email_address] 312.621.4400 www.SNSFE-law.com www.FinancialCounsel.com

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