Tag Archives: Electronic Communications

SEC Provides Investment Advisers Guidance Relating to Electronic Messaging

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) conducted a limited-scope examination initiative of registered investment advisers (“advisers”) that was designed to provide the SEC with a greater understanding of the various forms of electronic messaging used by advisers and their personnel, the risks of such use, and … Continue reading SEC Provides Investment Advisers Guidance Relating to Electronic Messaging