Actiance Inc
Belmont, CA:
FCA sets out its approach to financial promotions in social media
The Financial Conduct Authority (FCA) has today launched a consultation which is intended to clarify its approach to the supervision of financial promotions in social media. From extensive conversations with industry over the past 18 months, the FCA is fully aware of the increase in firms’ use of digital media for customer communications and specifically for financial promotions. More particularly, firms are using, or wanting to use social media for their communications with customers. However, many firms perceive difficulties in complying with some…
SEC and FINRA: It's Back to School Time!
Well, it’s that time of year again. Time to wrap up that series of Wakesurfing lessons. Time to get little Johnny dressed and ready for his first day of mathematical physics. Time to get back to work and catch up on a different set of painful lessons – those encountered by firms who have found …
Superveillance: Producing Integrated Insights Into Conduct
Read more on key principles and attributes that firms should consider as they seek solutions that go beyond the boundaries of traditional supervisory and surveillance tools.
