This double-edged sword has made social media the “hottest” compliance topic—ahead of insider trading, advertising/marketing and valuation, according to an Investment Adviser Association (IAA) survey ...

How to use social media effectively, while complying with the various rules and regulations in the financial industry, from a Compliance point of view.

“We go together like salt and pepper,” said no compliance/mortgage duo ever. If you’re in the mortgage business, you know exactly what this means. Since the advent of social media, compliance has been ...

Employee social media communications leave financial institutions at risk, even as U.S. regulators threaten fines, results of a study from compliance services provider Shield and business ...

In a bid to curb the prevalence of misleading ads that led people to invest in the CBEX platform, the federal government is ...

Join this webcast as we discuss what in-house counsel needs to know regarding their social media policies, specific areas to update and the potential downsides of not meeting NRLB’s expectations.