Webcast - Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers

Morgan Lewis partner W. John McGuire will speak on "Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers" as part of ACA University’s compliance webcast series.

Sloppy recordkeeping can lead to regulatory problems. As a registered investment adviser, you are required to maintain certain books and records related to your advisory business. Not only must advisers maintain these documents, they also must be ready to produce them in a timely manner, upon request by the staff. However, advisers are allowed to take advantage of modern technology to manage and store their records efficiently and less expensively. This webcast will:

• Review the broad categories of required books and records
• Discuss how the electronic age has affected recordkeeping practices
• Review technology requirements for maintaining records electronically
• Review the retention period for maintaining various books and records and common methods of their destruction thereafter
• Discuss best practices regarding the maintenance and safekeeping of books and records
• Go over the requirements that advisers must follow when emailing documents required to be delivered by law
• Examine SEC enforcement proceedings involving record keeping

Advisor Compliance Associates (ACA) University offers a series of web-based workshops covering the key topics that every compliance professional must master. The curriculum consists of a comprehensive series of 13 topics—each focusing on a timely advisory compliance issue pertinent to today’s heightened regulatory environment.

For more information or to enroll, go to: http://webcasts.acacompliancegroup.com/SearchResults.asp?Cat=21