eBook
The 2023 RIA Guide to Messaging Communication Compliance
Download this eBook to discover:
- What are the recordkeeping obligations that RIAs are required to meet and the policies and procedures they must implement in order to comply with those obligations
- What are the risks and consequences of non-compliance and what actionable steps can RIAs take in order to ensure compliance with SEC regulations
- How RIAs can address compliance issues regarding employee communication on messaging apps and social media tools