Electronic Messaging, Social Media, and More

May 20, 2020
On Demand

Your desk!


This webcast is a part of ACA's free Spring Conference Webcast Series. In response to the impact the coronavirus (COVID-19) pandemic is having on our clients and the financial services industry, ACA has launched our Spring 2020 Compliance and Performance Conference in a virtual format.

On Demand

Employees at investment advisers utilize many forms of electronic communication including email, instant messaging, social media and more to communicate and conduct business. Regulators have continued to expect that electronic communication utilized by employees is supervised and monitored by compliance. The work does not end at archiving. Investment advisers must demonstrate that they are monitoring and reviewing electronic communications to evidence oversight.

This panel will dive into best practices and ideas for monitoring electronic messages employees are using for business purposes.