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Compliance Toolkit

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Financial Firms Using Communicator Inc's Hub Connex Group Chat to Share Market Information

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Publisher Communicator
Publisher Registration Direct Access
Topics SEC Rule 17A-4 Date added 15 Sep 2005
Downloads 39 Format HTML

Hub Connex launched its enterprise group discussion Forums in 2001 and now hosts over 5,000 group Forums, with the world's largest broker-dealers and hundreds of investment management firms and hedge funds. The Hammerstone Group, an investment partnership and trading application provider, uses Hub Connex to connect over 100 professionals across 50 investment firms in a single forum. As online group discussions grow, financial firms need to ensure they are handled properly for communications compliance. Hub Connex' Forums support demanding message archiving and auditing requirements, including SEC rule 17a-4, NASD rule 3010 and the Investment Advisor Act. Communicator is a financial technology firm that provides investment managers and broker/dealers a suite of services for identity management, communications, compliance & operations.

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