Improving E-Mail Management And Compliance

Wilkins, Adam
October 2004
Bank Technology News;Oct2004, Vol. 17 Issue 10, p57
Trade Publication
The article explains the regulatory compliance related to e-mail for business purposes. Beyond the need for banks to manage e-mail for logistical or business process reasons, there are industry regulations to comply with regulations that dictate specific requirements regarding the archiving, monitoring and retrieval of business-related e-mail records. Under the Securities Exchange Act of 1934 Rules 17a and 17a-4 for broker dealers, the storage and retrieval of paper and electronic records, including e-mail that are related to broker dealer records are addressed in detail. The Gramm-Leach-Bliley Act addresses the protection of nonpublic personal information at financial institutions.


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