A New York state law that takes effect next year will make it more difficult for registered investment advisers (RIAs) in the state to conduct proactive testing for violations of their firms’ off-channel communication policies.

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Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:...