Electronic Communications Checklist for RIAs

Electronic Communications Checklist for Registered Investment Advisors

Use this checklist to review your compliance programs and confirm your firm is meeting its FINRA regulatory obligations.

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

This checklist provides an overview of recommendations that can help streamline oversight processes and reduce the chance of regulatory risk.

This checklist will help you with your compliance programs when considering components such as:

Written policies and procedures
Supervision
Mobile device management

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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

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