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SEC Compliance for Registered Investment Advisors

Web and Social Media Compliance and Monitoring Solutions for RIAs

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RIA Communications Are Highly Regulated

Registered Investment Advisors (RIAs) are using social media, websites, and instant message to communicate with clients, promote services, educate investors and recruit new employees. Registered with the SEC, RIAs have a fundamental obligation to act in the best interest of their clients and be in compliance with strict regulations regarding communication, disclosures and document retention.

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Digital Recordkeeping is Mandatory

In addition to SEC Rules 17-a3 and 17a-4, investment advisors must additionally comply with:

These recordkeeping obligations apply to electronic records including website communications, email, instant messages, and social media. RIAs are required to implement technology, policies and procedures for effective monitoring, record collection, and preservation of documents for a minimum of 5 years.

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Pass SEC Audits Confidently

PageFreezer delivers offers a proven, trusted archiving system in place to help RIAs:

  • Automatically collect web and social media records
  • Validate record authenticity and integrity
  • Monitor social media activity
  • Retain records according to retention schedules

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Social media and web archiving for financial firms best practices, FINRA & SEC requirements and tips

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