Toronto-based brokerage is putting significant efforts into the new technology in the wake of the new IIROC guidelines
Keep information fresh and archive all activity
IIROC releases draft on compliance obligations when using social media
Dealers must ensure all methods of communication comply with applicable regulatory requirements and securities legislation
Miami-based social networking website offers an expanded compliance reporting function for third-party websites
Financial advisors could be subject to even harsher penalties
TD, Scotiabank and RBC have launched social media websites to foster internal communication
Keep the conversation going with clients and prospects
Using social media for business can be complex. Now there’s help for newbies
Survey finds that 60% of participants are using social media