Publication
Compliance Reporter
02.08.2016
Social media use, which has quickly become the norm in the securities industry, presents significant and evolving compliance, legal and reputational risks for broker/dealers and other firms. Likewise, new best practices continue to develop. To minimize the risks to firms and their customers, chief compliance officers need to make sure they have appropriate written policies and supervisory procedures in place before allowing employees to tweet, post or share information through social media.
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