Iowa BD Turns to SunGard for Social Media Surveillance
Like all client communication, use of social networking sites can violate Finra regulation regarding promisory statements. Monitoring that communication for key words was something Berthel Fisher was not capable of doing in-house. It banned the use of social media for client communication, while acknowledging that that ban would not always be adhered to. In searching for outside help, it conducted a due diligence plan for a year before settling on Protegent in August. This solution helps firms
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