Your compliance guide to social media strategy and policy

The Financial Adviser's Guide to Social Media Strategy and Policy

Cover

The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recognize social media’s growing role in firms’ marketing and communication strategies.

With smart compliance practices and supporting technology, you can be prepared to present your social media records and evidence of your supervisory procedures in the event of a regulatory request or exam.

In this guide, discover practical steps to help you develop social media strategy and policy that meets social media recordkeeping and supervision regulatory requirements. Also gain insight into practices that can help you be ready to respond to discovery events including audits, examinations, and litigation.

Vendor:
Smarsh
Posted:
02 Dec 2019
Published:
02 Dec 2019
Format:
PDF
Length:
21 Page(s)
Type:
White Paper
Language:
English
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