E-Mail Retention and Monitoring

If you do not get the guidance you need regarding e-mail retention and monitoring, just send back the CD and materials and we’ll refund your entire fee. 100% Guaranteed!

E-mail Retention and Monitoring is sponsored by IA Week, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.

Chief Compliance Officers
Compliance Managers
General Counsel
Senior Managers

"Not a week goes by that I do not see an examination in which findings of violations are derived from e-mail communications." - Lori Richards

The highly popular E-mail Retention and Monitoring audio conference is now available on CD. Some of the most high-profile enforcement cases have stemmed from violations revealed through firm e-mail messages. You don’t have to look any farther than the latest settlements with Morgan Stanley ($15 million), UBS Securities ($2.1 million), and Jefferson Pilot Securities Corp. ($125,000) to know that regulators are targeting e mail.

That’s why you need to order the E-mail Retention and Monitoring audio conference on CD so you can get the straight story about how the SEC views e-mail retention and what safeguards you should have in place to ensure you can provide the necessary data during an exam. Get in-depth advice on what practices you should adopt to make sure the necessary e-mails are safely stored and effectively monitored. Order your very own copy today.

Also, get guidance on how to keep pace with technology advancements and handle instant messages, Blackberry transmissions, blogs and voiceover IP.

What e-mails SEC examiners are asking for in document request letters and on on-site visits.
Questions to ask when hiring or changing your third party e-mail retention vendor.
Tips for negotiating e-mail requests with SEC examiners.
Details on new technology solutions pioneered by leading vendors.
If the SEC favors a random sampling or key word searching approach.
How to flag different types of communications and know what to pre-review versus post-review.
How your peers define rules for filtering, retaining and destroying documents.
The SEC’s expectations regarding the retention of internal e-mails.

Bonus! In addition to the audio CD and speaker presentation materials, you will also receive IA Week’s E-Mail Retention and Monitoring Checklist to help you prepare for the soon-to-be released SEC e-mail retention guidance.