Thu, Dec 20, 2018

OCIE Risk Alert Relating to Electronic Messaging

On December 14, 2018, the Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert regarding their observations from investment adviser examinations relating to electronic messaging. The Risk Alert reminds advisers of their obligations when their personnel use electronic messaging and is intended to help advisers improve their systems, policies and procedures by sharing the OCIE’s observations from these examinations.

Read more about the Office of Compliance Inspections and Examinations here.

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