This recent article, written by Equities Contributor Destiny A. Lopez, features RPost. The article discusses how the SEC has increased the number of enforcement actions against Registered Investment Advisors (RIA’s). The article also offers some suggestions as to how RIAs can comply with SEC guidelines, including using RMail® Registered Email™ services.
As we discussed in a recent article, “Deciphering Large File Sharing, Sending, Storage (Part 1)”, email is not naturally well suited for sending file attachments of more than ten megabytes. One can never be sure if the recipient’s system will accept very large attachment transmissions.
As many know, email is not naturally well suited for sending file attachments of more than ten megabytes. One can never be sure if the recipient’s system will accept very large attachment transmissions.
While Title IV of The Jobs Act (Reg A+), the amended and expanded securities regulation, changed in mid-2015, organizations have been slow to change their processes until there was a clear understanding of how to use these new funding tools and stay in compliance.
At Frankel Insurance, staff sent an email to bind additional commercial property to an existing policy. Later, a claim was submitted to the insurance carrier, and the carrier denied having a record of the additional property having been added to the policy.
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