TITLE

E-mail Compliance: Separating Rumor from Reality

PUB. DATE
May 2005
SOURCE
Journal of Financial Planning;May2006, Vol. 18 Issue 5, p40
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article discusses rules for e-mail retention established by the Securities and Exchange Commission. While the SEC has established guidelines for e-mail record-keeping, they are not rules which must be followed. Therefore, firms that are contemplating technological overhauls should make sure that the investment is necessary and justified. The article presents advice from Gene Gohlke, associate director of the SEC's Office of Compliance, Inspections, and Examinations, concerning confusion surrounding the issue.
ACCESSION #
22065570

 

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