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/Fairview Flash Reports
Fairview Flash Reports2017-06-19T17:48:33+00:00
Dec20, 2018

OCIE Issues Risk Alert Outlining New Recommendations for Electronic Communications

By |Dec 20th, 2018|Advisers Act, Books and Records, Fairview® Flash Reports, News, Risk Alert, Technology, U.S. Securities and Exchange Commission|

OCIE Issues Risk Alert Outlining New Recommendations for Electronic Communications WHAT HAPPENED? On December 14th, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert [...]