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OCIE: Mitigating the risks of electronic messaging systems

Jaclyn Jaeger | January 4, 2019

Registered investment advisers will want to pay attention to some recent observations shared by the Office of Compliance Inspections and Examinations following an examination initiative it conducted that offers some key insights for firms to consider as they look to strengthen their supervisory, compliance, and risk-management practices related to the use of electronic messaging systems.

In December, the OCIE issued a Risk Alert focused on registered investment advisers to better understand the various forms of electronic messaging they use, the risks of such use, and the challenges in complying with certain provisions of the Investment Advisers Act. The OCIE conducted the examination initiative because it noticed an increasing use of various types of electronic messaging by adviser personnel for business-related communications.

“The purpose of this Risk Alert is to remind...

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