Morgan Stanley’s recent decision to loosen the reign for their financial advisers on Twitter is the latest in a long list financial services social media case studies.
Last December, FINRA fined Barclays $3.75M for system is record keeping and email retention failure. And last June, the regulator warned investors against trading on “pump-and-dump” emails. The finance industry has their social media conferences and consultants.
- Who regulates how financial service companies use social media
- Difference between social media guidelines and actual, enforceable law
- Social media compliance requirements for financial services providers
- How to satisfy social media archival and supervisory requirements
- Responsibilities for financial services over static vs. interactive social media posts
- Best practices for originating new accounts on LinkedIn, Twitter and Facebook
- Regulating advertising and public appearances, which social media is considered
- Avoiding adopting or becoming entangled with social networking sites
- Compliance through policy and social media training for financial services
- How to make you’re prepared to comply with random FINRA spot checks
- And much, much more