Checklist

RIA Compliance Checklist for Electronic Communications

Use this checklist to review your compliance programs and ensure your firm meets recent Securities and Exchange Commission (SEC) requirements such as the Marketing Rule.

The requirements for electronic communications recordkeeping, storage and supervision can be daunting. Yet, without demonstrating reasonable supervision, RIAs put their business at risk of litigation, fines or other enforcement penalties from the SEC.

Download this checklist to get recommendations for RIA compliance requirements such as:

  • Written policies and procedures
  • Recordkeeping
  • Supervision
  • Mobile device management
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