E-mail Retention Requirements for Investment Advisors

Posted on May 20, 2005 by Stark & Stark
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Oren Chaplin, member of the Firm's Securities Compliance & Arbitration group discusses e-mail retention requirements specific to the Securities industry in the May 2005 edition of the Journal of Financial Planning.

In the article, Mr. Chaplin discusses the Securities and Exchange Commission's requirements as they relate to e-mail retention, access and reproduction, as well as best practices for investment advisors.

You can read the article here.

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