E-mail Compliance: Separating Rumor from Reality

May 2005
Journal of Financial Planning;May2006, Vol. 18 Issue 5, p40
Academic Journal
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.


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