SEC OCIE Things Great tips on Financial support Advisers’ Recordkeeping Conditions to possess Electronic messaging

SEC OCIE Things Great tips on Financial support Advisers’ Recordkeeping Conditions to possess Electronic messaging On , the Office of Compliance Inspections and Examinations (“OCIE“) of the Securities and Exchange Commission (the “SEC“) issued a risk alert (the “Chance Aware“) to remind SEC-registered investment advisers (“RIAs“) of their obligations when their personnel use electronic messaging,…

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