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Brokers and investment advisers should “closely review” their policies and procedures for supervising their remote workers during the coronavirus pandemic, the SEC said.

Firms may need to revise their protocols given that Covid-19 has forced traders and other employees to work off-site and caused other challenges, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations said in a risk alert Wednesday.

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Marc Gilman

Author Marc Gilman

Marc brings a wealth of experience to the Theta Lake team, where he advises on technology, privacy, and product strategy. Marc is also an adjunct professor at Fordham Law where he teaches a course on compliance, technology, and financial services. Prior to joining Theta Lake, Marc held legal and compliance roles at Morgan Stanley and was a litigation associate at Schiff Hardin LLP. Gilman is a certified information privacy professional with both the CIPP/E and CIPP/US credentials.

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