Enforcement Alert: Retain Even Your Contract Reps' Business-Related E-Mail - or Risk Fines
BD Week
4/19/2010
"Make sure you have ready access to the e-mail communications that reps are using to conduct business for your firm – even if those reps aren't your immediate employees. That’s the takeaway from a recent FINRA enforcement action."
In this article, "Enforcement Alert: Retain Even Your Contract Reps' Business-Related E-Mail or Risk Fines," published on April 19, 2010 in BD Week, Mintz Levin attorney Steve Ganis discusses the importance of information accessibility, particularly for broker dealers with contractor reps.
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