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Capturing Conversations

August 25, 2013

Investment News

Investment advisers can participate in social media as long as they're able to show regulators what they've been up to online.

Although the social-media world is freewheeling, investment advisory and brokerage firms should have their internal policies buttoned down before they venture out into Twitter, Facebook, LinkedIn and other platforms. They'll never know when the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. may want to take a look.

“Although Internet content does not disappear [easily], when it does, it can have far-reaching and long-lasting effects on firms and representatives who use it,” Brian Rubin and Caroline Crenshaw, attorneys at Sutherland Asbill & Brennan LLP, wrote in a June newsletter. “Without established procedures to maintain, review and supervise communications transmitted via e-mail, instant messages, blogs, posts and other forums that may yet be invented, companies and individuals can be at risk of violating regulatory obligations.”
 

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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

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