Electronic Communications: Using Third Parties for Compliance, Mitigating Social Media Risks and Fulfilling Document Requests

To keep up with responsibilities to monitor, preserve and produce the electronic communications of its employees, firms are forced to develop hybrid monitoring models that rely on service providers in case the SEC or another regulator requests them in an examination. This final article in a three-part series originally published by our sister publication Private Equity Law Report explains ways that firms can work with service providers to capture, archive and surveil their employees’ electronic communications and social media practices. The first article provided an overview of recent regulatory measures – ranging from guidance to enforcement actions – related to electronic communications. The second article suggested several types of considerations that firms should weigh when preparing employee training regimens, as well as policies and procedures, directed at rooting out improper electronic communication practices. See “Tips from EY’s Forensics Team on Recognizing and Preventing BEC Attacks” (Dec. 4, 2018).

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