Compliance and ET

[indahook]

Quote from PuffyGums:

Just find out what the policy is but don't mention that you have posted on ET. You don't want an issue right out of the starting gate.

Very true....I may be dumb but I ain't stupid.

 

[Ebo]

Peace!
My only issue was Big Brother is sometimes watching!
Have a nice weekend everybody.........you too TM!

ebo

 

[TM_Direct]

Quote from Ebo:

Peace!
My only issue was Big Brother is sometimes watching!
Have a nice weekend everybody.........you too TM!

ebo

Too late for peace....I pinned the voo doo doll alreadly

 

[indahook]

Quote from TM_Direct:



Too late for peace....I pinned the voo doo doll alreadly

Man all the compliance officers I know are strange but....:eek:

Santaria anyone?

 

[CalTrader]

Quote from indahook:

A few of you know that by monday I will/will not have taken a job working as head of an agency desk. If I take the job I have to get my 24, but as of now I am compliance illiterate. My question is can I still post on ET as long as I am not making recos?

If you take the gig then they will make you sign an employment agreement / policy manual . This will state the rules of the firm.

They may blanket restrict your activities or leave it up to you. IF they leave it up to you then as has been stated, as long as you are not talking about issues you are connected with then there is no problem.

There is no "grandfathering" with respect to your comments prior to the license unless they and the licensing were part of a scheme to illegally profit.

 

[Ebo]

Let's beat this to death now.

 

[PuffyGums]

Quote from Ebo:

Let's beat this to death now.

Oh why not.

Also forget abt the porn on business computers even if everyone else does it. It may violate some sexual harassment situation at a future time.

Your boss very likely may be monitoring what you do on the computer without telling you.

Also forget abt poker, shopping, or web browsing. During slow times read something business related so your bosses think you are smart.

 

[indahook]

Quote from CalTrader:




If you take the gig then they will make you sign an employment agreement / policy manual . This will state the rules of the firm.

They may blanket restrict your activities or leave it up to you. IF they leave it up to you then as has been stated, as long as you are not talking about issues you are connected with then there is no problem.

There is no "grandfathering" with respect to your comments prior to the license unless they and the licensing were part of a scheme to illegally profit.

Cal, I have the manual and will be reading it this weekend again.....good stuff.

 

[rttrader]

Quote from indahook:

A few of you know that by monday I will/will not have taken a job working as head of an agency desk. If I take the job I have to get my 24, but as of now I am compliance illiterate. My question is can I still post on ET as long as I am not making recos?

...FWIW - my compliance office reads everything I post, (Hi Brian!), but I keep it simple and answer basic questions...I stay away from anything he's outlined for me. At least where I work though they do check my emails, postings etc...

Good luck to you next week...

rttrader -

 

[indahook]

Quote from PuffyGums:


Oh why not.

Also forget abt the porn on business computers even if everyone else does it. It may violate some sexual harassment situation at a future time.

Your boss very likely may be monitoring what you do on the computer without telling you.

Also forget abt poker, shopping, or web browsing. During slow times read something business related so your bosses think you are smart.

14 guys in the whole BD...no woman at all. The sweet thing is I have worked in the same office space with my boss for a year and he knows me very well.....thats the main reason they offered me the pos in the first place. Three guys in the whole freaking office with all communication occurring over the tele and IM. No sexual harassment suits coming my way.

I really do appreciate all of the feedback....i`ll let you guys know what happens

indahook