OPTIMIZING WEB SUPERVISION TO REDUCE THE RISK OF NON-COMPLIANCE
A WHITE PAPER FOR PRINCIPALS AND COMPLIANCE PROFESSIONALS IN FINANCIAL SERVICES
Compliance professionals charged with supervising the online activities and presence of associates (“web supervision”) face a daunting task. This new white paper focuses on five key areas:
"With recent changes that took effect on December 1st to FINRA rules outlined in Regulatory Notice 14-10, supervising an associate's web presence on social media, blogs and websites is now more crucial than ever. We invite you learn more about these expanded requirements and how we can help your firm reduce your compliance risks."
-James Cella, President of SiteQuest Technologies