SEC risk alert - branch office supervision

Written By Chris Hardy

We are pleased to introduce you to Issue #6 of altPILOT LODESTAR – a publication designed to increase the awareness of critical and emerging issues in the investment industry.

In this issue, we review the April 26th Risk Alert that highlights the importance of establishing written policies and procedures for safeguarding customer records and information in branch offices of investment advisers and brokers.

Chris Hardy
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