The Financial Advisor’s Guide to Social Media Regulations
With the right preparation and attention to detail, firms should feel confident about their ability to reach out to customers through social media. No matter how your business is structured, start with a social media usage policy. One of the critical steps to developing a sound policy is understanding the social media recordkeeping and supervision regulatory requirements.
In this e-book, Smarsh provides you with an overview of foundational guidance from financial services industry regulators.
One of the most critical elements of a strong social media policy is an understanding of the compliance requirements laid out by regulatory agencies like the SEC, FINRA, FCA, and IIROC.
Understanding your recordkeeping and supervisory obligations is the first step to getting the most out of your social media investment while protecting yourself from regulatory and financial risk.
Download The Financial Advisor’s Guide to Social Media Regulations and learn:
- Key recordkeeping requirements from the SEC, FINRA, FCA, and IIROC
- Social media usage and supervision guidelines
- Best practices for developing and managing your social media presence
Complete the form to download.