Subscribe

As e-communication channels proliferate, risk of Finra fines spikes

Smarsh survey finds 88% of firms issue mobile devices to employees who use them to IM, text and tweet.

Advisory firms may be inadvertently creating an unceasing flow of revenue into Finra's coffers.
E-messaging channels such as instant messaging, text/SMS messaging, Twitter, Facebook and LinkedIn have grown rapidly, but the proliferation of e-messaging and devices may backfire on firms if they find t

Subscribe or log in to read the rest of this content.

Related Topics:

Learn more about reprints and licensing for this article.

Recent Articles by Author

Going paperless: Advice industry takes on challenge

In an industry notorious for documents and signatures, firms welcome chance to automate

Ritholtz Wealth Management launches robo platform

Digital startup Upside powers Barry Ritholtz and Josh Brown's new platform for emerging investors

This ain’t no Fantasyland: Tales from T3

Amid red-eyed financial geeks, our intrepid reporter spots a theme: The robo-adviser threat.

Advisers seek balance between client service and automation

Effective communication takes place when the receiver interprets the sender's message in precisely the fashion in which the sender intended it, according to The American College's “Fundamentals of Financial Planning” textbook.

Cybersecurity a major priority in independent broker-dealers’ 2015 tech budgets

Preventing hack attacks is a big concern for independent broker-dealers heading into next year based on their planned technology spending.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print