Email Compliance 101
LiveOffice Webinar
Recording date:
Tuesday, November 18, 2008, 10:00 a.m. Pacific Standard Time (San Francisco, GMT-08:00)
Panelist Information:
Michelle Jacko and Christina Rovira of Core Compliance with R. Anthony Seyboth of LiveOffice
Duration:
1 hour 24 minutes
Description:
Please listen to this recorded event for a crash course in email compliance, and find out what you need to know to protect yourself and your business. You'll learn:
- The scope of electronic communications
- Current regulations & expectations (SEC/FINRA)
- How to properly conduct reviews
Featuring:
Michelle Jacko, Esq.
Founder & CEO, Core Compliance & Legal Services, Inc.
Michelle Jacko is the founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm offering services to the IA, hedge fund and BD communities. She also is managing partner of Jacko Law Group, PC. Ms. Jacko’s practice focuses on compliance risk management, contracts, compliance program testing and more.
Christina Rovira, J.D.
Legal Compliance Advisor, Core Compliance & Legal Services, Inc.
Christina Rovira’s consultation focuses on the areas of broker-dealer and investment adviser regulatory compliance. She has extensive experience in assisting with securities and corporate law issues. Her regulatory compliance efforts concentrate on electronic communications, FINRA and SEC advertising reviews, transition issues and risk management controls.
R. Anthony Seyboth
Director, Compliance Services, LiveOffice LLC
R. Anthony Seyboth has spent the last decade working directly with registered investment advisors and broker-dealers to ensure they have the technology tools they need to comply and succeed in today’s regulatory environment. His efforts are currently focused on helping financial institutions comply with the stringent regulatory requirements surrounding electronic recordkeeping and specifically emails and instant message records.
