Jun 21, 2012
Carter Malone, vice president, compliance, at investment banker Crews & Associates, never leaves his desk, not even for lunch
Malone’s job is to review the content and ensure the proper storage of all electronic communications that come in and out of Crews pursuant to Financial Industry Regulation Authority rules. “You have to retain electronic communications for six years at least,” says Malone. “And FINRA rules require that you review 20% of the communications. I average about 80%. I don’t want to miss something.”
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