Summary: Financial advisors beware: Your firm’s compliance department is watching you, surveilling your personal brokerage accounts and possibly monitoring your Facebook, LinkedIn and Twitter pages. A new survey from Compliance Solutions at Charles Schwab found that compliance officers spend approximately 11 hours per week monitoring and surveilling employees’ brokerage accounts, and half are also watching employees’ social media pages.
 employees do not have clear, ongoing training, or understand the appropriate way to respond to a new situation, then it becomes much more challenging to manage risk effectively.”Scott Rister, vice president and general manager, Schwab’s Compliance Solutions. |
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