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To: Dominick who wrote (10137)5/5/2002 12:23:01 AM
From: LPS5  Respond to of 12617
 
The answer is nothing, as long as it's approved by the firm's regulatory dept. first.

That's true, but even more specifically: internal emails need not be reviewed by compliance before sending.

Emails to clients or individuals outside the firm - in particular, while not exclusively, if they are of a sales and advertising nature - need to be approved as to their content before sending and thereafter maintained in a file dedicated to such by the compliance dept.

LP.


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