{"id":2636,"date":"2017-07-17T14:41:50","date_gmt":"2017-07-17T18:41:50","guid":{"rendered":"https:\/\/www.ascendantcompliance.com\/?post_type=blogs&amp;p=2636"},"modified":"2017-07-17T14:41:50","modified_gmt":"2017-07-17T18:41:50","slug":"electronic-messaging-exams-looking-beyond-emails","status":"publish","type":"post","link":"https:\/\/cssregtech.com\/de\/2017\/07\/electronic-messaging-exams-looking-beyond-emails","title":{"rendered":"Electronic Messaging Exams: Looking Beyond Emails"},"content":{"rendered":"<p>\t\t\t\tThe SEC is conducting\u00a0\u201celectronic messaging\u201d examinations, which include\u00a0all forms of written communications related to an Adviser&#8217;s business which are\u00a0conveyed electronically by methods\u00a0<strong><em>other than<\/em><\/strong>\u00a0email messages sent or received using the Adviser\u2019s email system.<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignright wp-image-2637 size-medium\" src=\"https:\/\/www.ascendantcompliance.com\/files\/2017\/07\/Phone-261897-300x200.jpeg\" alt=\"Electronic Communication\" width=\"300\" height=\"200\" \/>The types of electronic messaging in the examination include those of the Adviser and the Adviser\u2019s personnel (including independent contractors) used for the Adviser\u2019s business and subject to the Books and Records rule (Rule 204-2(a)(7) or (11)).<\/p>\n<p>The types of electronic messaging include:<\/p>\n<ul>\n<li>Instant messaging<\/li>\n<li>Text\/SMS messaging<\/li>\n<li>Email and personal or private messaging, whether on the Adviser\u2019s systems or third party apps or platforms<\/li>\n<li>The Adviser\u2019s mobile devices<\/li>\n<li>Personally owned computers or mobile devices used by Adviser personnel, including independent contractors<\/li>\n<\/ul>\n<p>The exam document request asks the Adviser to provide copies of written policies and procedures relating to electronic messaging, including informal or unwritten policies or procedures, and those addressing transmittal of sensitive information and related security and privacy concerns.\u00a0 The exam requests identification of all persons overseeing the policies and procedures and their roles and responsibilities, monitoring and review processes, exception reports, whether any violations have been detected, a summary of any internal audits or compliance reviews associated with electronic messaging, and copies of any risk assessments or risks, and how the Adviser mitigates or addresses these risks.\u00a0 Information regarding recordkeeping is requested, including if maintained by a third party vendor.<\/p>\n<h4><u><strong>Takeaways:\u00a0<\/strong><\/u><\/h4>\n<ul>\n<li>Review your policies and procedures related to electronic messaging. Ascendant&#8217;s Cybersecurity\u00a0Practice can\u00a0partner with you to craft more robust policies related to Electronic Communications, Acceptable Use and Information Security that are tailored to your business and cover\u00a0policies and controls for email, text messaging, apps and\u00a0cloud-based services. You can also use our proprietary technology tool,\u00a0<a href=\"https:\/\/www.ascendantcompliance.com\/services\/ascendant-compliance-manager\/\" target=\"_blank\" rel=\"noopener noreferrer\">Ascendant Compliance Manager<\/a>, to manage and distribute those policies, capture employee attestations, document your control activities and log any material findings.\u00a0<a href=\"mailto:info@ascendantcompliance.com?subject=Request%20for%20Information%20on%20Cybersecurity%20and%20Information%20Security%20Offerings\" target=\"_blank\" rel=\"noopener noreferrer\">Contact us<\/a>\u00a0to learn more.<\/li>\n<li>We&#8217;ve also previously weighed in on some of your options relating to policies regarding personal e-mails at work in a previous blog we did on cybersecurity, linked\u00a0<a href=\"https:\/\/www.ascendantcompliance.com\/blogs\/after-wannacry-everything-is-coming-up-cyber\/\" target=\"_blank\" rel=\"noopener noreferrer\">here.<\/a><\/li>\n<li>We believe this is a sweep exam in the NY region, which may be designed for information gathering and result in a soon-to-be SEC Guidance Alert. We will continue to keep you posted if\/when we learn anything new.<\/li>\n<\/ul>","protected":false},"excerpt":{"rendered":"<p>\t\t\t\tThe SEC is conducting\u00a0\u201celectronic messaging\u201d examinations &#8212; mainly in the New York region &#8212; which include\u00a0all forms of written communications related to an Adviser&#8217;s business.\t\t<\/p>","protected":false},"author":8,"featured_media":5287,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[45,47],"tags":[46,97,86,98],"coauthors":[],"class_list":["post-2636","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-blog","category-legacy-blog","tag-ascendant","tag-electronic-messaging","tag-sec-exam","tag-sec-sweep-exams"],"acf":[],"_links":{"self":[{"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/posts\/2636","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/users\/8"}],"replies":[{"embeddable":true,"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/comments?post=2636"}],"version-history":[{"count":0,"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/posts\/2636\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/media\/5287"}],"wp:attachment":[{"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/media?parent=2636"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/categories?post=2636"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/tags?post=2636"},{"taxonomy":"author","embeddable":true,"href":"https:\/\/cssregtech.com\/de\/wp-json\/wp\/v2\/coauthors?post=2636"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}