Regulatory Compliance Association Reviews

Re-Evaluating Your Email Surveillance Model™

Practice Edge 02

Re-Evaluating Your Email Surveillance Model™

Date: March 10, 2015
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours), attend via the RCA’s Online University (On Demand) – free for Practice Edge Elite Members

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This course sets forth an introduction to requirement to retain electronic communications and the SEC’s expectations for investment advisers to monitor such communications. It has been developed for chief compliance officers, compliance directors and other compliance personnel of investment advisers, which have been tasked with the responsibility to manage email retention and with conducting email review or surveillance of their firm employees.

 Students will master the following at the conclusion of this session:

• SEC expectations on email retention and monitoring as part of your compliance program
• Difference between email monitoring and email surveillance
• How to develop a risk-based approach to email monitoring
• Lexicon-based
• Random sampling
• How to develop a program of email surveillance with data analytics
• The pros and cons of outsourcing email retention and monitoring

Session Chairman:
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:
Michael Sakala, Senior Manager, Financial Services, Ernst & Young

Guest Lecturers:
Jason Brenier, Ph.D., Senior Manager, Fraud Investigation & Dispute Services, Ernst & Young
Cathy Hasenzahl, JD, Senior Manager, Ernst & Young
Jennifer Marling, Assistant Vice President, Team Leader, eSurveillance & Privacy,
Nuveen Investments
Scott Pomfret, JD, Regulatory Counsel & Chief Compliance Officer, Highfields Capital
Michael Sheehy, JD, Senior Vice President & Chief Compliance Officer, CoreCommodity Management