Archive for December 2016
‘Tis the Season for Electronic Correspondence Review
By Elin Cherry Most firms and surveillance groups approach electronic correspondence reviews in three ways: percentage of review, key words to identify problematic correspondence, and internal investigations. Thus far, regulators have not given firms much of a reason to do otherwise. Most of the regulatory fines and sanctions have been the result of lack of…
Read MoreHappy Holidays from all of us at Elinphant
Elin is the CEO of Elinphant a financial compliance services firm. Elin ensures compliance officers who serve clients are skilled and knowledgeable in relation to the clients business and needs. Elin is known for looking at compliance challenges as well as marketing and sales in an innovative and direct manner.Read More
‘Tis the Season for Electronic Correspondence Review
Most firms and surveillance groups approach electronic correspondence reviews in three ways: percentage of review, key words to identify problematic correspondence, and internal investigations.
Read MoreElephant on Wall Street
Elin is the CEO of Elinphant a financial compliance services firm. Elin ensures compliance officers who serve clients are skilled and knowledgeable in relation to the clients business and needs. Elin is known for looking at compliance challenges as well as marketing and sales in an innovative and direct manner.Read More