Legal

The Impact of New Communication Tools for Financial Services Firms

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Executive Summary

Securities traders, banks, investment advisors and others in the financial services industry have long embraced new communication tools. Email, for example, and more recently instant messaging can provide individuals within these firms with a distinct competitive advantage by providing information more quickly or allowing them to make more well-informed decisions. Regulators, such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), the Financial Services Authority (FSA) and others have established regulations regarding the appropriate use and management of the content generated using these tools.

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