The Division of Investment Management has released a Guidance Update which expands the permissible use of social media by investment advisers. Is it a game-changer for advisory marketing activities, or did it still leave some questions unanswered? Hear 3 social media do’s and don’ts, and learn what the latest interpretive guidance means when it comes to staying compliant with the Advertising Rules as applied to social media.Get a copy of Ascendant’s whitepaper “Like It Or Not: Social Media and the Testimonial Rule”.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
Recent ComplianceCast™ Minutes