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Home Investment Advisers IA Compliance Toolbox E-mail & Other E-Communications Policy

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Compliance Policies & Procedures

E-mail & Other E-Communications Policy

This is a peer's policy for e-mail and other electronic communications

August 3 2023

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IAs LATEST NEWS

Tips to attempt to master custody challenges
IA marketing mistakes to avoid
Annual reviews need not be written

LATEST TOOLBOX

Registered Investment Companies: Review of Certain Core Focus Areas and Associated Documents Requested
Example of FinCEN ID Form
Sample FinCEN Beneficial Ownership Report

UPCOMING EVENTS

Private Funds CFO Data and Technology Forum 2024

October 8-9, 2024
Marriott San Jose, CA

Private Fund Compliance Operations Forum 2024

November 19-20, 2024
Convene, 360 Madison Avenue, New York

View all events >

BROKER-DEALERS LATEST NEWS

Fraud and AML putting ‘high burden’ on compliance
‘Effective practices’ to combat increasing fraud
Get fortified against cyber risks

PRIVATE FUNDS NEWS

Annual reviews need not be written
FinCEN issues ‘deepfake’ risk alert
Books-and-records crackdown netted $600M

CPOs/CTAs NEWS

Another CFTC action targets e-comm
A look at AI and financial services
CFTC reports enforcement results

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