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Less than 2% of survey respondents permit the use of personal e-mail for business communications
Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern
The use of financial social media influencers is growing in popularity, which means increased regulator scrutiny
"Artificial intelligence could unleash great potential for investors, including through increased and lower-cost access to personalized investment advice. Innovation in this area is something that ...
SEC Commissioner Lizarraga
"As AI technologies evolve and mature, we will need to stay abreast of any potential risks that they may give rise to"
FINRA charges that posts made by influencers on social media sites on behalf of a Texas-based broker-dealer were "not fair or balanced"
Social media posts made by influencers on broker-dealer's behalf "were not fair or balanced, or contained exaggerated, unwarranted, promissory or misleading claims"
The influencer's and the index provider's fee structure and the lack of disclosure surrounding the engagement proved problematic
Cropped shot of a group of friends using their phones together outdoors
This is a peer's policy for e-mail and other electronic communications
Teens in circle holding smart mobile phones - Multicultural young people using cellphones outside - Teenagers addicted to new technology concept
A peer shares an example of a compliance policy and procedure for off-channel communications

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