If you think no one is spying on you, think again. In a post-Dodd-Frank era of heightened scrutiny, financial firms are more proactive than ever about rooting out potential problems. Registered representatives and dually registered RIAs who haven't been paying attention to regulatory changes may be in for a shock.
While you may not know who is scouring the web for dirt on you - regulators, compliance officials or both - chances are high that someone is doing just that. It's likely that the compliance team is at least occasionally reading "personal" emails sent through the company servers. And do not be too surprised if a request comes in soon for access to your personal email accounts.
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