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Learn more about what we do while staying up-to-date with industry regulations and trends

9/14/2020

REMEMBER THE 20-20-20 RULE AND PREVENT EYE STRAIN

 
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In a world of ever growing automation and computer work, it's easy to find yourself staring at your computer screen (or screens) virtually all day long. While sometimes we feel that our brains might be fried from such activities, you're eyes also pay a heavy price in the form of eye strain.
 
Here are some helpful hints on how to avoid eye strain based upon the 20-20-20 rule.
  • Every 20 minutes give your eyes a break and take your eyes off your computer screen. Try to stand up and move around at least once every 20 minutes.
  • For at least 20 seconds give your eyes a break. Blink often to refresh your eyes. Many people blink less when working at a computer. Blinking helps product tears that moisten and refresh your eyes.
  • Look at something 20 feet away like focusing on something outside if you have a window or perhaps across the office you work in. Look at a picture across the hall. If possible lean back and close your eyes for a few moments.
 
It also helps to adjust your computer display settings. Adjusting the brightness, text size, and contrast of your display can help reduce eye strain and fatigue.
 
You'll find that by doing so, your focus on your work will increase while your eye strain symptoms will start to decrease.
 
Give your eyes a break and let Eagle Eye do the work for you. Eagle Eye is a leading-edge application that automates your processes for searching, documenting, reporting and ultimately supervising your associates’ web presence.
 
Many of our clients have found that using Eagle Eye can reduce their workload by as much as 80%. See how Eagle Eye can help save you time from having to stare at your computer screen all day.

Contact us today!

9/2/2020

FINRA Regulatory Notice 20-30:  Fraudsters Using Registered Representatives Names to Establish Imposter Websites

 
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FINRA recently sent out Regulatory Notice 20-30 regarding an increase in imposter advisor websites being created with malicious intent. These fraudsters are also calling and directing potential customers to use these imposter websites. Additionally these imposters may be using these sites to collect personal information from potential customers with the likely end goal of committing financial fraud.

According to FINRA, some common features of these websites include:
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  • Using the registered representative’s name as the domain name for the website (e.g., firstnamemiddlenamelastname.com).
  • Including a picture purporting to be the registered representative.
  • Providing information about the registered representative’s employment history, including prior employers’ CRD numbers and examination history.
  • Asking individuals to fill out a contact form with the individuals’ names, email addresses, phone numbers, the subject of the inquiry and space for a message.
  • Many of these sites contain poor grammar, misspellings, odd or awkward phrasings, or misuse of financial services terminology.
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FINRA suggests that “Member firms and registered representatives can take steps to identify these pages by conducting periodic web searches using registered representatives’ names.”
The potential damage of an Imposter Website could be irreversible. What can you do?

Eagle Eye by SiteQuest Compliance has everything you need to monitor the internet and discover imposter sites and other compliance threats to your firm. Our multi-query processes, lexicon searches and dynamically designed algorithms provides more accurate search results saving you time and automatically alerting you to new search results concerning your registered representatives’ identity.  

Additionally, our system considers the domain name as it searches for results and scores them for potential reviews.

Our easy-to-use workflows allow you to quickly review dozens to hundreds of search results in minutes. Many of our clients have found that with Eagle Eye they cut their workload by 80%.

If you do discover an imposter website contact FINRA and the FBI immediately.

See for yourself how Eagle Eye will support your compliance and supervision programs to monitor the web and discover these types of issues and more. Contact us today for your personalized demo.

Eagle Eye also supports your firm’s adherence to regulatory requirements like FINRA Rules 2210, 3110, 3120, and 3270 by providing supervision of the internet.
 
Read the Entire Regulatory Notice 20-30

    About James Cella

    James Cella is the President of a growing and innovative compliance technology provider called SiteQuest Compliance. James is a customer-centric individual and focuses on building and sustaining positive and lasting relationship with his clients and partners. James and his family are "super fans" of University of Utah Football and have attended nearly every home game since 2002. Go Utes!


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