The Investment Adviser Electronic Communications Policy Disclosure Statement is typically used as part of an investment adviser’s periodic compliance certification process with its registered and associated personnel.  As the obligations to supervise electronic communications are based largely on the content and audience of the message rather than the electronic form of the communication, the Electronic Communications Policy Disclosure Statement is designed to communicate an investment adviser’s set of policies regarding the use of electronic communications as well as obtain certification of compliance with respect to such policies in accordance with SEC/State regulatory requirements.

Version/Update: V.2/May 28, 2018

Total Page Count: 1

Source/Author(s): Connexien