Several months ago I shared an Infographic with you. The Infographic provided some comparisons between Google Drive, Dropbox, Skydrive and iCloud. I want to follow that up with a more in-depth look at whether these cloud storage solutions may be used by Financial Services Providers. The question is whether these cloud storage options meet SEC and FINRA security guidelines. (more…)
As of February 4, 2013, Social Media communication that has no investing advice or service advertising is exempt from review guidelines, as are other interactive electronic communications. (more…)
While managing a very tight budget, the Securities and Exchange Commission (SEC) has found work it can do right at their own desks. Last month, the SEC sent a document request list to investment advisors seeking to learn how they use social media sites like Flickr, Facebook, YouTube, LinkedIn and Twitter, according to the compliance alert posted on the ACA Compliance Group's website. (more…)
