As firms develop their social networking strategy, and grant approvals to brokers to use social media for business purposes, there are a few issues that the firm must consider. Initially, the firm must determine which individuals and which departments will be allowed to use what type of media. In this area, firms must be careful […]
Top Social Networking Compliance Concerns For Brokers-Dealers
Filed Under: Compliance, Financial Advisors, Marketing Tagged With: business, facebook, Financial Industry Regulatory Authority, Investment Banks, social media, Social network, Social network service, Telecommunication
How Can Broker-Dealers Manage Social Media Compliance?
As broker-dealers consider letting registered representatives use social media for business purposes, a well-developed compliance program in this area is essential. Whether the media is something like a blog, Facebook, Linkedin, Twitter, or something else, firms must remember that they have an obligation to reasonably supervise its use. This means that the firm must develop […]
Filed Under: Compliance, Financial Advisors, Marketing Tagged With: business, facebook, linkedin, Marketing and Advertising, social media, Social network, Social network service, twitter
What To Do When Your Firm Says No
So you’re a registered rep. or an advisor who wants to harness the power of social media for business purposes. Maybe you want to raise brand awareness of your business, increase your personal profile, or perhaps start a blog to improve internet visibility and help educate your clients and potential clients. But what do you […]
Filed Under: Compliance, Financial Advisors, Marketing Tagged With: business, facebook, Financial adviser, Financial Industry Regulatory Authority, FINRA, Regulatory compliance, social media, youtube
