Financial advisors know that they must comply with SEC requirements to archive all email sent to and from their firm’s employees, but knowing what to look for when reviewing email may not be as clear.

“As fiduciaries, it is critical that advisors implement strong procedures to supervise email communications, including those between advisors and their clients,” says Paul Tolley, chief compliance officer at Commonwealth Financial Network, an independent broker-dealer in Waltham, Mass.

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