Hedge Fund Blogs From HedgeCo.Net


Suggestive Phrases = Red Flags for Regulators

CW Logo Small

Dear Friends,

A Bloomberg article highlights how the use of certain suggestive phrases in electronic communications can be red flags for regulators.

Phrases like TYOP (tell you on phone), TOL (talk off line), and LDL (let’s discuss live) are red flags. “Investigators for the SEC and Justice Department get so many e-mails they can’t possibly review them all without using Control-F….they use terms to find evidence of whether someone is trying to hide their activities,” said Galleon prosecutor Reed Brodsky.

Please click here for the Bloomberg article. Please feel free to contact us with any questions at (212) 867-0200 or email us at info@counselworksllc.com.

Thank you,

CounselWorks

www.counselworksllc.com

About CounselWorks LLC

CounselWorks is a strategic business and regulatory consulting firm, that provides project-based consulting and manages compliance and regulatory programs for hedge funds, private equity firms, investment companies, broker-dealers and investment banks.
This entry was posted in Hedge Fund Commentary, hedge fund regulation, Hedge Fund Fraud, hedge fund news and tagged , , , . Bookmark the permalink.

Comments are closed.