Yasmin Zarabi

Displaying 2 results
YOUR PRACTICE FINTECH FEB 24, 2017
Regulatory scrutiny may put firms without adviser text messaging policies at risk

An increasing emphasis on telemarketing activities is putting pressure on financial firms to protect themselves and their advisers.

Advisers are texting, but are they compliant?
YOUR PRACTICE FINTECH DEC 09, 2015
Advisers are texting, but are they compliant?

Firms need to have proper supervision over their advisers' text messaging activities as regulators pay closer attention to compliance infractions.