Advertising and Social Media for Investment Advisers and Broker-Dealers


Course Description:

As consumers continue to connect through technology and seek more avenues for information, advisers and broker dealers are being pulled along. The ability to create a user experience that explores a deeper client relationship has led many firms to develop parallel traditional and digital advertising strategies. These strategies involve more frequent and in-depth economic commentaries and forecasts, reliance on and display of third-party data and performance, story-telling, personalization, and visualizations than ever before. Advisers and broker dealers find themselves using multiple channels: from their website to social media page to corporate events and various publications. Where content is king, firms have found new ways to leverage resources to provide text, tweets, video, and graphics to support client connections. How are these developments aimpacting compliance programs?

Learning Objectives:

After attending this course, attendees should be able to:

  • Discuss advertising rules governing traditional and digital media
  • Address challenges of performance advertising, especially when utilizing third-party data and information
  • Confront the trends reshaping marketing in a socially connected world and associated compliance challenges
  • Design an effective advertising monitoring, review and approval program by utilizing latest technology to achieve efficient workflow processes

For Whom: Designed to increase the professional competence of investment adviser and broker-dealer professionals with legal, compliance, technology and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

Continuing Education Credits:

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP Credit: Pending