Email Review of HR and CEO Emails

All: How do investment advisers monitor the emails of their HR departments, CEOs, etc. as it relates to protecting sensitive information about which those people correspond. Do you monitor those employees the same as everyone else, carve them out completely, have the CCO review, etc.? If you limit the review of those employees to certain senior compliance staff, can you provide details? Thank you.


  • Yes, they should be reviewed and how they are reviewed would depend a lot on the firm's size. A larger firm can designate a more senior and/or removed individual to review those emails. Most archival services allow you to carve out certain individuals to a separate que and you can restrict who can view and review that que.
    Size permitting it may be a good solution to limit who can view these types of sensitive communications.

Sign In or Register to comment.