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This is a peer's policy for e-mail and other electronic communications
Teens in circle holding smart mobile phones - Multicultural young people using cellphones outside - Teenagers addicted to new technology concept
A peer shares an example of a compliance policy and procedure for off-channel communications
The number of SEC-registered investment advisers climbed to an all-time record high in 2022--a 2.1% increase over the prior year
FINRA provides practices firms may want to consider when evaluating their social media influencer programs and privacy obligations
The route most advisers would take to limit avenues of business communications would be via their compliance P&Ps
The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...
New York secondaries Next Gen leaders
Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”
Jacko recommends that you develop a compliance P&P specific to your firm’s use of social media that exists outside of your larger advertising P&Ps and ...
The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...
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