Select a locationselect a location

In the News

Search In the News
Search by date
Choose From Date
Choose To Date

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.”

Related People

Our Story

Eversheds Sutherland 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.

click to watch Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Washington, DC
Adam C. Pollet, Associate
Washington, DC
© 2017 Eversheds Sutherland (US) LLP
Add this page to MYBRIEFCASE
News/Commentary - Capturing Conversations
Save ChangesDownload MYBRIEFCASEClear All