New RIA Compliance Requirements for Electronic Communications

We live in an increasingly digital world – where electronic communications live at the heart of successful business operations. However, with any form of digital communication, there are inherent risks.

As a new registered investment adviser (RIA), you must clearly understand electronic communications records obligations. Today’s RIAs must take extra care to adhere to recordkeeping and supervisory obligations established by the Securities and Exchange Commission (SEC).


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In this brief, we take a deep dive into these topics to discuss:

  • Key regulations for RIAs
  • Tips for getting started with electronic recordkeeping and supervision obligations
  • Best practices when implementing these new policies and procedures

Download the brief for a comprehensive look at everything new RIAs need to have on their mind as they develop compliance strategies for today’s modern, digital communications.