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    Keep Current with Compliance - 4 Topics for June 2019
    Admin
    • Jun 5, 2019
    • 3 min

    Keep Current with Compliance - 4 Topics for June 2019

    Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.
    32 views0 comments
    How Not to Get Zapped by Electronic Communications
    Admin
    • Dec 18, 2018
    • 2 min

    How Not to Get Zapped by Electronic Communications

    On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages advisers to review their risks, practices, policies and procedures regarding electronic messaging. The alert also urges advisers to consider any improvements to their compliance programs that would help them comply with applicable regulatory requirements. New communications and social channels empower advisers and their employees to send informati
    11 views0 comments

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