Checklist

Electronic Communications Compliance Checklist for RIAs

Use this checklist to review your compliance programs and ensure your firm meets its SEC regulatory obligations.

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

In this guide, you’ll find a checklist and an overview of recommendations around components such as:

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