Corporate > AG Deal Diary > SEC Examinations and Investigations: Electronic Communications
05 Jan '18

Akin Gump took a look at the rising use of new electronic communications platforms among employees and clients across the financial services industry.  Here we explore popular apps, including Signal, WhatsApp and iMessage.  We offer a hypothetical of what the SEC would likely expect an advisor to maintain as “books and records,” and what they could request in an examination or obtain from a subpoena.  

Click here to read the article.