WebBackground. According to OCIE, the risk alert was occasioned by the increasing use of social media, texting, and other types of electronic messaging apps by investment … WebFeb 7, 2024 · This first article in our two-part series analyzes how the Books and Records Rule and the Compliance Rule impact the ways in which advisers and their employees may use electronic messaging for business purposes, the sweep initiative that led to the Risk Alert and OCIE’s recommended best practices.
SEC Issues Risk Alert Dealing with Electronic Messaging
WebWireless Emergency Alerts (WEA, formerly known as the Commercial Mobile Alert System (CMAS), and prior to that as the Personal Localized Alerting Network (PLAN)), is an … WebNov 8, 2024 · The persistent business criticality of electronic messaging systems coupled with the SEC’s sweep presents a perfect opportunity to revisit compliance best practices … intune android force update
OCIE Publishes Risk Alert on the Use of Electronic Messaging by ...
WebJan 24, 2024 · The Risk Alert, which draws on the staff’s observations from a limited-scope examination initiative that surveyed advisers regarding their use of electronic messaging, is intended to “remind” advisers of certain … WebDec 21, 2024 · Client Alert December 21, 2024 SEC OCIE Issues Guidance on Recordkeeping Requirements for Electronic Messaging By David L. Goret and Scott H. Moss On Dec. 14, 2024, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its “Observations from Investment Adviser Examinations Relating to … WebJan 22, 2024 · The risk alert provides a list of best practices that OCIE observed and identified during its examinations of registered investment advisers that it believes may assist other advisers in meeting their obligations under the Books and Records Rule and the Compliance Rule. The practices include the following: Policies and Procedures newrealgoal