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.
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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