Securities Dealers and Mutual Fund Dealers, are subject to rules that require recordkeeping and supervision of all electronic communications — including email, Bloomberg, social media and many more.
This guide is designed to help Mutual Fund Dealers and other regulated firms navigate the rules and requirements for electronic communications.
This guide will cover:
- An overview of the SEC rules for record keeping and supervision of electronic communications
- SEC Rule 204-2, Books and Records to be Maintained by Investment Advisors
- SEC Rule 206(4)-7, Compliance Procedures and Practices
- Changes brought on by the Dodd-Frank Act
- What type of messages must be retained and supervised
- Business Continuity requirements for regulated firms
- How Global Relay solutions address these rules and regulations