All Registered investment advisers articles

  • Blog post

    OCIE: Mitigating the risks of electronic messaging systems

    2019-01-04T12:00:00Z

    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 to strengthen their supervisory, compliance, and risk-management practices related to the use of electronic ...