AIMA Webinar: Messaging Compliance: Ensuring Policies and Procedures Align with Your Practices and Regulatory Expectations

USA

Books and Records rules for messaging have long been a part of the regulatory framework, a more mundane necessity that only ever seems to rise in prominence with litigation or scandals. Surveillance can be tricky, and reviews can be tedious and time consuming; storage is costly. Personal device usage and social media activity complicate the process, as has remote working.

Communications policies and procedures must be “reasonably designed” to prevent violations of applicable regulations. While some may question the definition of “reasonable”, it never will be reasonable to put in place a policy that then isn’t followed or enforced. The combined $200m in fines by the SEC and CFTC against a prominent bank in December 2021 serves as a stark reminder of this and a clear warning to others.

On Thursday, February 17, join us as we walk through messaging compliance, from enforcement actions to best practices, with Larry List, EVP Sales and Business Development of RegTech surveillance firm VoxSmart and Benjamin Kozinn, partner in the Investment Management Division of Lowenstein Sandler. We welcome your questions before and during the webinar, which may be submitted anonymously.
We hope you will join us for this timely and informative session. For registration, please click on the link below.

Speakers:
•    Benjamin Kozinn, Partner, Investment Management Division, Lowenstein Sandler
•    Larry List, EVP Sales and Business Development, Voxsmart

Moderator:
•    Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA

 


 

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