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Browse: Home / 2018 / August / 15 / What’s Your Email Address? – Compliance Building

What’s Your Email Address? – Compliance Building

By Securities Docket on August 15, 2018, 1:35 pm

I read about a new red flag in the Securities and Exchange Commission’s exam process for investment advisers. Examiners are looking for Chief Compliance Officers with web-based email addresses. So, if your CCO uses a gmail, or yahoo.com email address on your Form ADV filing, the SEC will treat that as a red flag.

This comes from a story in IA Watch….

via What’s Your Email Address? – Compliance Building.

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Posted in Industry, SEC, Top | Tagged OCIE

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