Social Media Compliance for the Financial Services Professional - In Person
Date: Monday, October 3, 2011
Time: 8:30 am to 2:00 pm
Location: Downtown Conference Center
157 William Street, New York, NY 10038
Instructor: Carolyn May
Download Course Agenda
This course addresses the various types of Social Media and how the regulatory environment affects use of such media by Financial Services Professionals. The course explores which regulations apply to Social Media and the supervision issues which must be considered when using Social Media. Workshop demonstrates how rules apply to each area of a Social Media Network (focusing on LinkedIn, Twitter and Facebook) and a discussion of best practices for compliance. Participants should familiarize themselves with various terms used in social media as a prerequisite to the course.
- Description of various Social Media and Networks
- Explore applicable SEC and FINRA Rules - Record Keeping, Communications with the Public, Advertising, Suitability and Supervision
- Discuss best practices and common challenges in the supervision of Social Media
- Review regulatory concerns
- Examine each feature of LinkedIn, Twitter and Facebook and how they are impacted by each of the various rules and regulations
Who Should Attend:
- Compliance, attorneys, registered representatives, operations, sales staff, and management.