Focus SEC: Records Management Best Practices

December 1, 2021
| ( Online )
Webcast , Countries

The U.S. SEC recently opened a broad inquiry into how Wall Street banks are tracking employees' digital communications. As a result of the SEC’s increased focus on communications, which likely will include personal text messages and emails, broker-dealers will likely have to walk a fine line between compliance with SEC and FINRA requirements for record-keeping with employee privacy.

Please join us for an interactive webcast, during which we will the discuss best approaches for record preservation with the proliferation of personal devices, apps and communications channels while balancing the need for employee privacy.

Schedule: 9:00 a.m. – 10:00 a.m. (EST)

Moderator

  • Chris Lombardy, Managing Director, Deputy Chief Revenue Officer - Private Funds, Kroll
 

Panel

  • Ann Gittleman, Managing Director, Expert Services, Kroll
  • Daniel L. Zelenko, Partner, Crowell & Moring

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