Communications Archiving and Review

According to SEC Rule 204-2 of the Investment Advisers Act of 1940, every SEC-registered investment adviser is required to keep true, accurate, and current books and records about its business activities. Included in the long list of required records are certain written communications – which means your website, social media, email, text, other off-channel communications, and any other means of contacting and engaging clients must be captured and archived in a manner prescribed in the rule.