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Invite colleaguesCaught in the web: Pitfalls of electronic communications
Abstract
This paper explores the regulatory interest in and examination focus on electronic messaging at financial institutions. The regulatory landscape for recordkeeping at broker-dealers and registered investment advisers is discussed in the context of enforcement actions for alleged recordkeeping failures. Practical considerations are offered to enable compliance professionals to monitor and supervise electronic messaging.
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Author's Biography
E. J. Yerzak , CISA, CISM, CRISC is Managing Director at Salus GRC, a regulatory compliance and cyber security consulting firm. He assists financial companies and private equity portfolio companies in bridging the gap between compliance and cyber security risk management. He enables companies to manage cyber security risk through technical testing and risk assessments, including penetration testing, vulnerability scanning and dark web monitoring. As a cyber security expert, he is regularly requested to speak at industry events around the world on cyber security and blockchain. E. J. has authored numerous articles on emerging technology and regulatory issues and is the author of an award-winning technothriller fiction novel, Access Point. He is a Certified Information Systems Auditor (CISA®), Certified Information Security Manager (CISM®) and Certified in Risk and Information Systems Control (CRISC™). E. J. holds a Bachelor of Arts in both English and Computer Science, Magna Cum Laude, from Colgate University, a Master of Science degree in Computer Information Technology from Central Connecticut State University, as well as a J.D., Magna Cum Laude, from Quinnipiac University School of Law. He is licensed to practise at the State Bar of Connecticut and in federal court before the U.S. District Court for the District of Connecticut.