This resource is no longer available

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:

Feb 8, 2021

Published:

Dec 2, 2019

Format:

PDF

Type:

White Paper