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Safely Embracing the Power of Social Media

June 21, 2018
1:00 PM - 3:00 PM EDT
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Course Description:

Social media has transformed the way businesses communicate with consumers. Investment advisers and their employees are exploring new ways to leverage these digital relationships. With consumers having so many social connections, how are investment advisers standing out? What are the ways firms are reaching their intended audiences? LinkedIn, Twitter, Facebook, Instagram are all platforms growing in popularity. Each of these social platforms present business opportunities and compliance challenges. Social media strategies involve more frequent, in-depth, and immediate content. Where content is king, firms have found new ways to leverage resources to provide text, tweets, video, audio and graphics to support client connections. How are these developments impacting compliance programs?

  • Identify the social media platforms most used by firms
  • Assess the platforms features and how they present compliance challenges
  • Explore best practices in policy and procedures development
  • Design an effective social media review, approval, monitoring and retention process

For Whom: Designed to increase the professional competency of investment adviser professionals with legal, compliance, marketing, operations and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: The pre-requisite for participation is a basic understanding of definitions and concepts arising under the Investment Advisers Act of 1940 and related rules.

Advance Preparation: None

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: 2