SIA's Electronic Records Forum is a half-day event addressing regulations, enforcement and examination implications, and the practicalities and pitfalls of electronic records in an ever-changing technological world. Panelists will include well-regarded regulators from the SEC, NASD, and NYSE, as well as industry legal, compliance, and technology experts. This three-panel forum will address complex issues including:
· Current regulatory regime governing the retention, storage, and retrieval of electronic records, including e-mail and instant messages
· Supervision of e-mail and new technology (e.g., portable devices, blogs, etc.)
· Effective responses to regulatory requests for electronic records
· Tensions between broker-dealer and investment adviser regulatory regimes
· Document retention and destruction policies
· Lessons learned from recent enforcement actions
And much more...
This conference is a must for industry professionals responsible for legal, compliance, technology, operations, systems, and strategic planning. Outside counsel and consultants are also encouraged to attend.
You may register online here or fax the registration form to SIA on 212-968-0653.
For more information, please contact Melissa MacGregor at (202) 216-2034 or mmacgregor@sia.com.