Observations from Investment Adviser Examinations Relating to Electronic Messaging
Dec. 14, 2018
Topic: The purpose of this Risk Alert is to remind advisers of their obligations when their personnel use electronic messaging and to help advisers improve their systems, policies and procedures by sharing the OCIE staff’s observations from these examinations.
Key takeaway: OCIE encourages advisers to review their risks, practices, policies and procedures regarding electronic messaging and to consider any improvements to their compliance programs that would help them comply with applicable regulatory requirements.
View the Risk Alert: Observations from Investment Adviser Examinations Relating to Electronic Messaging (PDF)