Lately, AdvisorLaw has been hearing from more and more financial advisors who have imperiled their careers with social media posts and comments. We like to say that “it’s a free country,” and it is — the First Amendment guarantees that the government won’t put you in jail or punish you in any way for what you say. However, it does not guarantee …
Working from home? Stay socially distant, virtually connected.
When working remotely, there are some things to keep in mind to remain compliant and productive. First, look up your firm’s Business Continuity Plan. Be sure you’re following the written policy and any written guidance provided by your supervisor or home office compliance. Ensure your communications are properly monitored.Once you’re sure that you’re in line with the written BCP, consider …