Commondesk News
January 5, 2010 - FINRA Issues Guidance to Firms, Brokers on Communications with Public Through Social Networking Websites. Details October 6, 2009 - Survey: Over Half of U.S. Workplaces Block Social Networks. Details September 18, 2009 - Compliance Watch! Social Networking Tests Compliance Officers. WSJ. Details April 27, 2009 - Corporate Blogs and 'Tweets' Must Keep SEC in Mind. WSJ Details April 27, 2009 - Richard Brewer-Hay, part of the next wave of investor relations professionals who are using web 2.0 tools to provide investors with company information. Details March 1, 2009 - CommonDesk will attend the May 5-7, 2009 WES Conference in Orlando, Florida - Details February 2, 2009 - CommonDesk offers free mobile compliance audit to selected companies - Details |
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In 2002 the SEC imposed $8M in fines to organizations that did not archive employee e-mail. These firms did not comply with SEC 17A-4 and NASD 3010 regulations pertaining to electronic communications. As part of this mandate the SEC has also updated their regulations to include computer-based Instant Messaging, as provided by AOL, Yahoo, MSN and Reuters, and the additional communication channels provided by the BlackBerry. NASD RFC 2007 was the first step towards implementing a compliance requirement for all types of mobile messaging including SMS/Text, PIN-2-PIN Messaging and Web Mail. CommonDesk has the most comprehensive compliance solution, providing multiple methods of message capture and this is mandatory for deployment in complex financial services environments. We provide enterprise grade solutions for financial service firms who have zero tolerance for loss, have large international workforces, and need to integrate diverse systems.
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