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A compliance officer for a Midwestern firm is benefiting from the automation of his Web surveillance of the firm’s representatives.
When it comes to images, records and social media postings available via the Web, most people are worried about insipid selfies, photos that reveal too much, and public documents that may be prove embarrassing. For securities firms, though, the concerns are more profound than drunken postings. They are under pressure by regulators to do a...
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