Broker‐Dealer Supervision of Electronic Communications
Abstract
In light of the sea change brought about by advancing technology in the way broker‐dealers communicate with clients, this article is a timely discussion of the current federal and self‐regulatory organization (SRO) requirements for a broker‐dealer's supervision of its employees' electronic business communications. Forms of communication, and the regulatory guidelines covering them, include e‐mail, off‐premises messages, group email, web site content, hyperlinks to other home pages, and chat rooms.
Citation
SCHECHTER, L. and STERN, M. (2000), "Broker‐Dealer Supervision of Electronic Communications", Journal of Investment Compliance, Vol. 1 No. 1, pp. 19-26. https://doi.org/10.1108/eb045867
Publisher
:MCB UP Ltd
Copyright © 2000, MCB UP Limited