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Electronic communications with clients – what to know before you hit “send”

By Thompson Hine LLP on August 14, 2019
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If you’re a robo-adviser, chances are you want to create a fully “digital” experience for clients that doesn’t involve sending paper documents. For example, you may want to email clients or communicate with them directly through your firm’s online platform. If you’re going to ditch the paper, the SEC expects you to follow its guidance…

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The Investment Management Blog is an operational and compliance resource for investment managers of all sizes. Because of the unique way that these firms serve clients, investment managers face regulatory and functional challenges that traditional advisers do not. This blog regularly addresses those challenges in thoughtful, concise and practical posts.

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