SEC OCIE Points Strategies for Money Advisers’ Recordkeeping Conditions to possess Messaging

SEC OCIE Points Strategies for Money Advisers’ Recordkeeping Conditions to possess Messaging

On , the Office of Compliance Inspections and Examinations (“OCIE“) of the Securities and Exchange Commission (the “SEC“) issued a risk alert (the “Risk Alert“) to remind SEC-registered investment advisers (“RIAs“) of their obligations when their personnel use electronic messaging, such as text messages, instant messaging, personal email or messaging apps, and to help RIAs improve their compliance policies regarding electronic messaging. Sigue leyendo